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Quarterly FOCUS Part llA Filings (Quarter ending 12/31/2018)

January 25, 2019

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.

taft.law.uc.edu/CCL/34ActRls/rule17a-5.html

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Date:
January 25, 2019
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