FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly Supplemental FOCUS Information (SSOI) for Quarter ending 12/31/19. FINRA Rule 4524
Members of SIPC are required to pay an assessment on Net Operating Revenue, as defined by the SIPC By Laws Article VI, for the first half of each fiscal year. … Continue reading SIPC 6 Assessment (Fiscal year ending June 30, 2020)
FINRA Rule 4524 requires each member firm to file a Supplemental Statement of Income (“SSOI”) within 20 business days after the end of each calendar quarter via the FINRA Gateway. … Continue reading Quarterly Supplemental Statement of Income (SSOI) (Quarter ending 12/31/2019)
The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as … Continue reading Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 12/31/2019)