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Form OBS Quarterly filing due for Q3 2018

October 31, 2018

Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS)


Unless subject to the de minimus exception, carrying and clearing firms must file Form OBS on a quarterly basis.  A firm that claims the de minimus exception must affirmatively indicate through the eFOCUS system that no filing is required for the reporting period.



October 31, 2018
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