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Quarterly Form Custody Filing Due
January 27, 2016
«
Annual Schedule I Filing for 2015
Disclosure of Order Routing Practices (SEC Rule 606) (Q4 2015)
»
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
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Details
Date:
January 27, 2016
Event Categories:
Compliance
,
Regulatory Financial
Event Tags:
FINRA
,
SEC Rule 17a-5(a)
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