Tag Archives: Form Custody Filings

Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/19)

In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 A-5 within 17 business days after the end of the month.  The fifth FOCUS filing is required for every broker or dealer who does not … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/19)