Loading Events

« All Events

  • This event has passed.

Quarterly FOCUS Part llA Filings (Quarter ending 3/31/2017)

April 25, 2017

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.


April 25, 2017
Event Category:
Event Tags:
Copyright© 2024 The LeGaye Law Firm P.C.