Monthly & Fifth’ FOCUS IIA Filings (Month ending 10/31/2017)

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 A-5 within 17 business days after the end of the month. The fifth FOCUS filing is required for every broker or dealer who does not carry nor clear transactions nor carry customer accounts other than March, June, September or December. The Part IIA of Form X-17 A-5 should be filed within 17 business days after the end of the fiscal year.