Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.

OMB 3235-0035

OMB 3235-0035

Rule 17a-13 was adopted in 1971 to ensure that brokers and dealers posses or control securities as indicated in their records and that they know the location of those securities which they are to receive or deliver. Any differences must be reported in the broker's or dealer's records.

The latest form for Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers. expires 2023-01-31 and can be found here.

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