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Quarterly Supplemental Inventory Schedule (SIS) Report (Quarter ended 9/30/2021)

October 28

The SIS must be filed by a firm that is required to file FOCUS Report Part II, FOCUS Report Part IIA or FOGS Report Part I, with inventory positions as of the end of the FOCUS or FOGS reporting period, unless the firm has (1) a minimum dollar net capital or liquid capital requirement of less than $100,000; or (2) inventory positions consisting only of money market mutual funds.6 A firm with inventory positions consisting only of money market mutual funds must affirmatively indicate through the eFOCUS system that no SIS filing is required for the reporting period.

Details

Date:
October 28
Event Category:
Event Tags:
Website:
http://www.finra.org/sites/default/files/SIS.14-43_Attachment_0.pdf

Organizer

FINRA
Website:
www.finra.org
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