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| Click to view... | | | Registrant | | | About | | | Filings | | | Files | | | Relationships | | | Names | | | Topics | | | Web | | | |||||||||||
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| List All Filings | or | ||
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| Most-Recent Filing: | ‘FOCUSN’ — Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — for 12/31/14 — | ||
| New-Filing E-Mail: | |||
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| Latest Filing | Type | Category | Description | Documents | |||||
|---|---|---|---|---|---|---|---|---|---|
| 4/20/15 | OLD | FOCUSN | Update: | Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers OLD | 12 | ||||
| 4/20/15 | OLD | X-17A-5 | Update: | Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers — Form X-17A-5 OLD | 14 | ||||
| 3/4/15 | OLD | MA-W | Registration: | Notice of a Withdrawal from Registration by a Municipal Advisor — Form MA-W OLD | 1 | ||||
| 12/17/14 | OLD | MA-I | Registration: | Info re: Natural Persons Who Engage in Municipal Advisory Activity — Form MA-I OLD | 3 | ||||
| 12/17/14 | OLD | MA | Registration: | Application for Registration by a Municipal Advisor — Form MA OLD | 1 | ||||
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| Year | # of Filings | |
|---|---|---|
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| 2015 | 3 | |
| 2014 | 6 | |
| 2013 | 2 | |
| 2012 | 2 | |
| 2011 | 2 | |
| 2010 | 2 | |
| 2009 | 1 | |
| 2008 | 2 | |
| 2007 | 2 | |
| 2006 | 2 | |
| 2005 | 2 | |
| 2004 | 2 | |
| 2003 | 2 | |
| 2002 | 1 |