Quarterly Form Custody (Quarter ended 12/31/2019)
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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Monthly Net Capital Computation (Month ending 12/31/2019)
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 … Continue reading Monthly Net Capital Computation (Month ending 12/31/2019)
Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2019)
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 12/31/2019)
Annual Schedule I Filing for 2019
SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
Annual Firm filing and Contact Reporting for 2020
FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must … Continue reading Annual Firm filing and Contact Reporting for 2020
Annual Firm Filing and Contact Reporting for 2019
FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must … Continue reading Annual Firm Filing and Contact Reporting for 2019
Annual MSRB Registration Information Update
Each January, MSRB registrants (municipal securities dealers and municipal advisors) must verify and, if necessary, update the MSRB registration information provided in Form A-12. MSRB Rule A-12 requires that the … Continue reading Annual MSRB Registration Information Update