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Registered broker-dealers must file Form Custody with their designated examination authority (such as FINRA) when they submit their FOCUS (Financial and Operational Combined Uniform Single) reports to report custody practices and client asset handling.

 

Syndicate Legal Advisory Services provides nationwide legal document preparation services for broker-dealer firms required to file Form Custody under SEC Rule 17a-5. We prepare and complete Form Custody and related supporting materials based on the custody location information, account details, and specific instructions you provide. 

 

Documents Commonly Prepared

We prepare a full range of documents associated with Form Custody filings, including but not limited to:

  • Form Custody: Completion of Form Custody for Broker-Dealers, including responses regarding introduction of accounts, locations where securities are held, types of accounts, and related custody information, based on the data and details you supply.
  • Supporting Schedules or Attachments: Formatting of any supporting lists of locations, account descriptions, or related schedules from the information you provide.
  • Amendments: Amendments to previously filed Form Custody reports, prepared from the revised data and details you supply.
  • Related Supporting Materials: Organization of exhibits or attachments incorporating client-supplied custody documentation or other materials referenced in the filing.

 

Documents are prepared for use in connection with electronic filings through FINRA’s eFOCUS system (subject to the information you provide). Form Custody is generally required to be filed by all broker-dealers within 17 business days after the end of each calendar quarter pursuant to SEA Rule 17a-5(a)(5); clients remain fully responsible for accurate custody and location data, electronic filing via eFOCUS, meeting all deadlines, and compliance with all SEC, FINRA, and Customer Protection Rule (Rule 15c3-3) requirements.

BD - SEC FORM CUSTODY

$325.00Price
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DISCLAIMER: The information on this site is for informational purposes only and should not be taken as legal or financial advice. Requesting additional information or submitting information through this site or any contact form does not mean an attorney-client, or any other professional services provider-client relationship has been formed. Syndicate Legal Advisory Services is a legal advisory firm. As a legal advisory firm, Syndicate Legal Services provides guidance, analysis, compliance support, and strategic counsel on legal matters, but does not litigate, appear in court, or formally represent clients in legal proceedings.

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