BD- SEC Form Custody

Form Custody is a required form that broker-dealers must file with their quarterly FOCUS Reports.  Form Custody provides information if a broker-dealer maintained custody of customer or non-customer funds and, if so, how those funds were maintained.  Members also downloaded 2020 State Requirements for Broker-Dealer Annual Audited Financial Statements or SEC Form BD or SEC Annual Audit Report, Form X 17A-5, Part III, Facing Page.    

Version/Update: 3235-0691/December 2013

Total Page Count/Format: 10/.pdf

Source/Author(s): SEC