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Supplemental Inventory Schedule (SIS) Report (Month ended 3/31/2024)

April 26

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. 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:
April 26
Event Category:
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Website:
http://www.finra.org/sites/default/files/SIS.14-43_Attachment_0.pdf

Organizer

FINRA
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