Data Dictionary
Item Number B428
IS THE FIRM IN COMPLIANCE WITH RULE RULE 17A-13 REGARDING PERIODIC COUNT AND VERIFICATION OF SECURITIES POSITIONS AND LOCATIONS AT LEAST ONCE IN EACH CALENDAR QUARTER? NOCall confidentiality applies to FFIEC 031/041.
Series | Start Date | End Date | Confidential? | Reporting Forms |
---|---|---|---|---|
SECFB428 | 2000-03-31 | 9999-12-31 | Yes | SEC 1695/1696 |
Data Description:
Is the firm in compliance with Rule 17a-13 regarding periodic count and verification of securities positions and locations at least once in each calendar year?
Check No
NOTE:
Reported on the Focus Report.