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Supplemental Inventory Schedule (report period ended 11/30)

December 29, 2016

The Supplemental Inventory Schedule (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.


December 29, 2016
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