Quarterly Form Custody (Quarter ended 12/31/2024)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Tag Archives: Form Custody Filings
Quarterly Form Custody (Quarter ended 9/30/2024)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 6/30/2024)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 3/31/2024)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 12/31/2023)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 9/30/2023)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 6/30/2023)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 3/31/2023)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 12/31/2022)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 12/31/2022)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 9/30/2022)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 6/30/2022)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 3/31/2022)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 12/31/2021)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 9/30/2021)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 6/30/2021)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 3/31/2021)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 12/31/2020)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 12/31/2020)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 9/30/2020)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 6/30/2020)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 3/31/2020)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
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 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 11/30/19)
Quarterly Form Custody (Quarter ended 12/31/2019)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 9/30/2019)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 6/30/2019)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 3/31/2019)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Quarterly Form Custody (Quarter ended 12/31/2018)
A broker-dealer must file Form Custody with FINRA via the Gateway within 17 business days after the end of each calendar quarter.
Form Custody Filings (period ended 12/31/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Form Custody Filings (period ended 09/30/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Form Custody Filings (period ended 03/31/2019)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Form Custody Filings (period ended 06/30/2018)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).
Form Custody Filings (period ended 03/31/2018)
Firms are required to file the Form Custody when they submit their Focus filings.
Form Custody Filings ( period ended 12/31/2017)
Firms are required to file Form Custody pursuant to SEC Rule 17a-5(a)(5).