Sec x-17a-5 filings

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August undefined, 2024

WebFORM X-17A-5 FOCUS REPORT (Financial and Operational Combined Uniform Single Report) PART IIB 11 OTC DERIVATIVES DEALER OMB APPROVAL OMB Number: 3235 … WebSEC Filings. Form X-17A-5 CUSO FINANCIAL SERVICES, For: Dec 31. Article. FREE Breaking News Alerts from StreetInsider.com! E-mail Address.

Electronic Filing of Form X-17A-5 Part III (Broker-Dealer, …

WebPart I, Part II or Part IIA of Form X– 17A–5 (§249.617 of this chapter), as to such member, and transmits to the Commission a copy of the applicable parts of Form X–17A–5 (§249.617 of this chapter) as to such member, pursuant to a plan, the procedures and provi-sions of which have been submitted to and declared effective by the Commis- Web3 Dec 2024 · Annual Schedule I Filings: Year and Due Dates 2024 – Due: January 26, 2024 2024 – Due: January 26, 2024 Form Custody Firms are required to file Form Custody pursuant to SEA Rule 17a-5 (a) (5). Form Custody Filings: Quarter Ending and Due Dates December 31, 2024 – Due: January 26, 2024 March 31, 2024 – Due: April 25, 2024 grant thornton ireland transparency report

SEC Footnote 74 Provides Alternative for Broker-Dealers Who Don …

Web18 Feb 2024 · SEA Rule 17a-5(d)(6) requires firms that are members of the Securities Investor Protection Corporation (SIPC) to file the annual audit report with SIPC. Members … Web(SEA Rule 17a-11(f)) Failure to make a deposit in the Special Reserve Account for the Exclusive Benefit of Security-Based Swap customers If you have problems using the … WebSubstantive questions regarding Form X-17A-5 Part III filing requirements should be directed to the Division of Trading and Markets by calling (202) 551-5777 or by e-mailing … grant thornton ireland offices

EDGAR Filing Documents for 0001049767-23-000002

Information Notice 6/3/21 FINRA.org

Web8 hours ago · NOLAN SECURITIES CORP. (FormX-17A-5) Accepted: April 14, 2024, 12:55 PM PDT Form Type: X-17A-5 Accession Number: 0000870702-23-000001 Recent SEC Filings BENCHMARK 2024-B15 MORTGAGE TRUST... Web5 Nov 2024 · Search SEC.gov. Company Filings. U.S. Securities and Exchange Commission. q. About. Careers; Commissioners; Contact; ... X-17A-5 Part IIA. Downloads. pdf formx … grant thornton irvine officeWeb10 Feb 2024 · 17a-5 (b) (2) The broker or dealer must attach to the report required by paragraph (b) (1) of this section an oath or affirmation that to the best knowledge and … grant thornton isignthis

"WebSEC Home » Search the Next-Generation EDGAR System » Company Search » Current Page; Form X-17A-5 - FOCUS Report: SEC Accession No. 0001025942-23-000004 Filing Date. ... " - Sec x-17a-5 filings

Sec x-17a-5 filings

WebElectronic Filing of Form X-17A-5 Part III (Broker-Dealer, Security-Based Swap Dealer, and Major Security-Based Swap Participant Annual Reports) In order to make electronic … WebCurrent Page Form X-17A-5 - FOCUS Report: SEC Accession No. 0001025942-23-000004 Filing Date 2024-04-14 Accepted 2024-04-14 21:09:21 Documents 2 Period of Report 2024-12-31 Effectiveness Date 2024-04-14 Document Format Files Mailing Address 10150 MEANLEY DRIVE, 1ST FLOOR SAN DIEGO CA 92131

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Web24 Aug 2024 · On July 1, 2024, the SEC and FINRA issued guidance on the characterization of U.S. registered broker-dealers under Securities Exchange Act Rule 15c3-3. In the past, … Web3 Jun 2024 · 2 Rule 17a-5 governs financial and operational reporting by brokers and dealers. Members are required to file with FINRA, through the eFOCUS System, reports …

WebCFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a … WebSecurities and Exchange Commission (SEC) logo. The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). …

WebElectronic Filing of Form X-17A-5 Part III (Broker-Dealer ... Nov 15, 2024 — Electronic Filing of Form X-17A-5 Part III (Broker-Dealer, Security-Based Swap Dealer, and Major Security-Based Swap Participant Annual Reports). Learn more 17 CFR § 240.17a-5 - Reports to be made by certain brokers ... WebSEC Rule 17a-5 One year after reporting rule changes, there is still work to be done It has been a year since the SEC finalized amendments to Rule 17a-5, which governs the …

WebInterpretations to the SEC's Financial and Operational Rules. To assist firms in complying with SEC Rules regarding financial and operational matters, FINRA has published and will … grant thornton islamabadWeb2 Feb 2015 · Information Relating to the Possession or Control Requirements under SEC rule 15c3-3 (if applicable) The financial statements and supporting schedules must be prepared in accordance with U.S. GAAP and must be in a format that is consistent with the statements contained in Part II or Part IIA of Form X-17A-5 (the “FOCUS report”) grant thornton ishareWeb3 Jul 2024 · Only authorized SEC personnel are granted access to the email addresses collected by SEC through SEC Bulletin sign up from. This information collected are stored … grant thornton isoWebSEC Home » Search the Next-Generation EDGAR System » Company Search » Current Page; Form X-17A-5 - FOCUS Report: SEC Accession No. 9999999997-22-001597 Filing Date. ... GORDIAN GROUP, LLC (Filer) CIK: 0000846227 (see all company filings) IRS No.: 133453158 State of Incorp.: grant thornton ireland valuesWebbased upon amounts reported in your Rule 17a-5 Annual Audited Statement of Income prepared in conformity with generally accepted accounting principles applicable to securities brokers and dealers. or if exempted from that rule, use X-17A-5 (FOCUS Report) Line 12, Code 4030. (2) Adjustments The purpose of the adjustments on page 2 grant thornton isle of man addressWeb21 Feb 2024 · SEC Home » Search the Next-Generation EDGAR System » Company Search » Current Page; Form X-17A-5 - FOCUS Report: SEC Accession No. 0001049767-23-000002 … grant thornton istanbulWeb27 Mar 2024 · Form X-17A-5 Filer Information UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT Form X-17A-5 Part chipotle 56th and 6th