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UNITED STATES SECURITIES AND EXCHANGE COMMISSION20210525 12:28PM EDT Status: AcceptedFOCUS REPORTER X17A5×FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT×PART II11×Please read instructions
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Filesbrokercheckfinraorg firm firm13071 is associated with Apex Clearing, which is a clearing firm that processes transactions for brokerage firms and investment companies.
Broker-dealers and investment firms that operate under regulatory oversight are required to file the necessary documentation to ensure compliance with financial regulations.
To fill out the filing, submit the required details online via the FINRA website, ensuring that all sections are completed accurately and completely.
The purpose is to provide a framework for monitoring brokerage firms' activities and ensuring they comply with industry regulations.
Firms must report information such as financial status, regulatory compliance, and transaction details as required by the regulatory authorities.
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