Loading Events

« All Events

  • This event has passed.

Monthly & Fifth FOCUS IIA Filings (Month ending 11/30/2016)

December 23, 2016

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.

Details

Date:
December 23, 2016
Event Category:
Event Tags:
Copyright© 2023 The LeGaye Law Firm P.C.