Loading Events

« All Events

  • This event has passed.

Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2021)

January 26

In accordance with SEC Rule 17a-5(a)(2)(iii), each broker/dealer registered pursuant to section 15 of the Act who does not carry nor clear transactions nor carry customer accounts shall file Part IIA of Form X-17 A-5 within 17 business days after the end of each calendar quarter.

Details

Date:
January 26
Event Category:
Event Tags:
Website:
https://www.law.cornell.edu/cfr/text/17/240.17a-5

Organizer

FINRA
Website:
www.finra.org
Copyright© 2022 The LeGaye Law Firm P.C.