Stephanie Avakian and Steven Peikin, Co-Directors of the Division of Enforcement, will participate in a panel at SIFMA’s Compliance and Legal Society Annual Seminar. Agenda details.
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Net Capital Computation (Month ending 02/28/2019)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth FOCUS IIA Filings (Month ending 02/28/2019)