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Form OBS Quarterly filing due for Q4 2018

February 1, 2019

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.

 

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Date:
February 1, 2019
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www.finra.org
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