Data Dictionary

Item Number B369
THE SYSTEM AND PROCEDURES UTILIZED IN COMPLYING WITH THE REQUIREMENT TO MAINTAIN PHYSICAL POSSESSION OR CONTROL OF CUSTOMERS' FULLY PAID AND EXCESS MARGIN SECURITIES HAVE BEEN TESTED AND ARE FUNCTIONING IN A MANNER TO FULFILL RQMNTS OF RULE 15C3-3: NO

Call confidentiality applies to FFIEC 031/041.

Series Start Date End Date Confidential? Reporting Forms
SECFB369 2000-03-31 9999-12-31 Yes SEC 1695/1696

Data Description:


No information available for this item.

NOTE:

Reported on the Focus Report.   

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Last update: May 08, 2024