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X-WR-CALDESC:Events for LeGaye Law Firm
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DTSTART;VALUE=DATE:20241126
DTEND;VALUE=DATE:20241127
DTSTAMP:20260408T032117
CREATED:20240214T195158Z
LAST-MODIFIED:20240214T195158Z
UID:6957-1732579200-1732665599@www.legayelaw.com
SUMMARY:Monthly & Fifth' FOCUS IIA Filings (Month ending 10/31/24)
DESCRIPTION: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.
URL:https://www.legayelaw.com/calendar/monthly-fifth-focus-iia-filings-month-ending-10-31-24/
CATEGORIES:Regulatory Financial
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