FINRA-required filing, for clearing or carrying firms, that includes detailed information about off-balance sheet and other risk. Detailed filing required when aggregate risk exceeds exception amount.

FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.

FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.

FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.

FINRA-required filing—for all FINRA members—that includes detailed information about the source of broker-dealer revenue and the nature of its expenses.

SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable.

SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable.

SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable.

SEC-required filing that deals with broker-dealer business model with respect to the custody of customer assets, as applicable.

SEC-required filing containing operational information. All broker-dealers file as of Dec. 31 of each year.