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List All Filings | or | ||
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Most-Recent Filing: | ‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5 — for 12/31/23 — | ||
New-Filing E-Mail: |
Latest Filing | Type | Category | Description | Documents | |||||||
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2/29/24 | X-17A-5 | Update: | Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers — Form X-17A-5 | 16 | |||||||
2/14/24 | 13F-HR | Ownership: | Quarterly Holdings and Combination Reports by Money Managers — Form 13F — | 54 | |||||||
7/20/17 | OLD | FOCUSN | Update: | Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers OLD | 7 | ||||||
Form-Specific Documents: | |||||||||||
2/14/24 | INFO-TABLE | Portfolio Securities Holdings – Info Tables — Form 13F — | 47 | ||||||||
Broker-Dealer Reports: | |||||||||||
2/29/24 | FULL | Annual Financial Reports (Full) | 5 | ||||||||
3/3/20 | OLD | STMT FIN COND | Statements of Financial Condition OLD | 3 | |||||||
3/3/20 | OLD | STMT FIN COND NOTES | Notes to Statements of Financial Condition OLD | 3 | |||||||
3/3/20 | OLD | ACCT RPT STMT FIN CO | Accountants’ Reports re: Examinations of Statements of Financial Condition OLD | 3 |
Year | # of Filings | |
---|---|---|
2024 | 2 | |
2023 | 5 | |
2022 | 6 | |
2021 | 7 | |
2020 | 6 | |
2019 | 5 | |
2018 | 5 | |
2017 | 6 | |
2016 | 6 | |
2015 | 6 | |
2014 | 6 | |
2013 | 8 | |
2012 | 5 | |
2011 | 2 | |
2010 | 2 |