Annual Schedule I Filing for 2024
SEC Rule 17a-10 requires broker-dealers to file Schedule within 17 business days after calendar year-end.
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Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2024)
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 12/31/2024)
Quarterly Form Custody (Quarter ended 12/31/2024)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.