Lockton Investment Securities, LLC Files X-17A-5 Form with SEC (0001339862)
In a recent SEC filing, Lockton Investment Securities, LLC (Filer) submitted form X-17A-5, indicating a significant event in the company’s operations. Form X-17A-5 is a financial and operational report required to be filed by broker-dealers with the SEC. This form provides crucial information about a broker-dealer’s financial health, compliance with regulatory requirements, and overall operational standing. The submission of this form by Lockton Investment Securities, LLC suggests a commitment to transparency and regulatory compliance in its operations.
Lockton Investment Securities, LLC is a brokerage firm that focuses on investment services and securities trading. As a filer of form X-17A-5, the company is required to disclose detailed financial information, including balance sheets, income statements, and regulatory capital computations. This filing offers investors and regulators insight into the financial stability and regulatory adherence of Lockton Investment Securities, LLC. For more information about Lockton Investment Securities, LLC, you can visit their website here.
Overall, the submission of form X-17A-5 by Lockton Investment Securities, LLC is a significant regulatory event that highlights the company’s commitment to financial transparency and compliance. Investors, regulators, and other stakeholders can review this filing to assess the firm’s financial health and operational standing in the securities industry.
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Lockton Investment Securities, LLC Submits X-17A-5 SEC Filing Form
