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40 Rector Street 12th Floor New York, NY 100061729 tel 2128232020 faxes 2129626130 www.csanyc.org/pages/37/SCHOOL BASED INTERMEDIATE SUPERVISORS INSTITUTE (SB ISI) SERIES II PROGRAM2017 2018 Application(Please
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What is series ii program?
Series II program is a reporting system that captures financial and trading activity on a daily basis.
Who is required to file series ii program?
Firms that are members of designated self-regulatory organizations (DSROs) are required to file Series II reports.
How to fill out series ii program?
Series II reports can be filled out online through the designated regulatory portal or software provided by the DSROs.
What is the purpose of series ii program?
The purpose of Series II program is to monitor and track financial and trading activity in order to detect any potential violations or risks to market integrity.
What information must be reported on series ii program?
Series II program requires reporting of transactional data, order information, and other relevant financial details.
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