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Quarterly FOCUS and SSOI Filing (Quarter ending 06/30/2016)

July 26, 2016

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.

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

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July 26, 2016
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