Quarterly Form Custody (Quarter ended 3/31/2019)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
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Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2019)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2019)
Form Custody Filings (period ended 03/31/2019)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Quarterly FOCUS Part llA Filings (Quarter ending 03/31/2019)
In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part … Continue reading Quarterly FOCUS Part llA Filings (Quarter ending 03/31/2019)