№ lp_1_2_30371
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Character count: 50064
File size: 98 KB
Checklist summarizing statutory recordkeeping obligations for broker-dealers under U.S. federal securities law, detailing required records, content elements, and retention periods prescribed by SEC rules.
Document type:
Regulatory compliance checklist
Governing law:
Securities Exchange Act of 1934
Applicable rules:
SEA Rules 17a-3 and 17a-4
Regulatory authority:
U.S. Securities and Exchange Commission
Related organization:
Financial Industry Regulatory Authority
Subject matter:
Broker-dealer books and records requirements
Jurisdiction:
United States
Retention periods:
Three to six years depending on record type
Target entities:
Registered broker-dealers
Source references:
SEA Rule 17a-3; SEA Rule 17a-4
Compliance focus:
Record creation and retention
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Agency:
United States Securities and Exchange Commission
Form number:
Form 25
Document type:
Regulatory filing form
Jurisdiction:
United States
Legal basis:
Securities Exchange Act of 1934
Applicable rules:
Rule 12d2-2 (17 CFR 240.12d2-2); Rule 19d-1 (17 CFR 240.19d-1)
OMB control number:
3235-0080
OMB expiration date:
March 31, 2021
Filing system:
EDGAR
Effective delisting period:
10 days after filing
Effective withdrawal of registration period:
90 days after filing
Revision identifier:
SEC 1654 (03-06)
Year:
2021
Region / city:
Panama City, Republic of Panama
Topic:
Financial Report
Document Type:
Press Release
Organization:
Banco Latinoamericano de Comercio Exterior, S.A.
Author:
Bladex Communications
Target Audience:
Investors, financial analysts
Period of validity:
Q2 2021, 6M 2021
Approval Date:
July 29, 2021
Date of Changes:
None
Year:
2024
Region / city:
Delaware, USA
Theme:
Business operations, financial report
Document type:
Annual report
Institution:
U.S. Securities and Exchange Commission
Author:
BAB, Inc.
Target audience:
Investors, financial analysts, regulators
Period of validity:
Fiscal year ending November 30, 2024
Approval date:
Not specified
Date of amendments:
Not specified
Year:
2022
Region / City:
Panama City, Republic of Panama
Topic:
Foreign trade, financial reporting
Document Type:
Report
Organization:
Banco Latinoamericano de Comercio Exterior, S.A.
Author:
Ana Graciela de Méndez
Target Audience:
Investors, financial institutions
Period of Validity:
April 2022
Approval Date:
April 28, 2022
Date of Changes:
April 28, 2022
Contextual Description:
A financial report by Banco Latinoamericano de Comercio Exterior, S.A. detailing the submission of their annual report on Form 20-F to the U.S. Securities and Exchange Commission for the fiscal year 2021.
Year:
2025
Region / city:
United States, Washington D.C.
Subject:
Financial Reporting
Document Type:
Quarterly Report
Organization / institution:
U.S. Securities and Exchange Commission
Author:
Eli Lilly and Company
Target audience:
Investors, Financial Analysts
Period of validity:
Quarter ending September 30, 2025
Approval Date:
Not specified
Date of changes:
Not specified
Description:
Financial report detailing the financial status, results of operations, and other corporate disclosures for Eli Lilly and Company for the third quarter of 2025.
Year:
2025
Region / City:
Thousand Oaks, California
Topic:
Financial Report
Document Type:
Quarterly Report
Organization:
Amgen Inc.
Author:
Amgen Inc.
Target Audience:
Investors, Financial Analysts
Period of Validity:
Quarter ended June 30, 2025
Approval Date:
Not specified
Date of Changes:
Not specified
Context Description:
Financial report for Amgen Inc., filed in accordance with the Securities Exchange Act of 1934.
Year:
2025
Date of Event Which Requires Filing of this Statement:
October 31, 2025
Amendment Number:
3
Issuing Authority:
Securities and Exchange Commission
Type of Document:
Schedule 13G filing
Governing Law:
Securities Exchange Act of 1934
Issuer:
Praxis Precision Medicines, Inc.
Issuer Address:
99 High Street, 30th Floor, Boston, MA 02110
Title of Class of Securities:
Common Stock, par value $0.0001 per share
CUSIP Number:
74006W207
Outstanding Shares Referenced:
24,693,005
Reporting Persons:
Adage Capital Management, L.P.; Robert Atchinson; Phillip Gross
Place of Organization:
Delaware
Citizenship:
United States
Business Address of Reporting Persons:
200 Clarendon Street, 52nd Floor, Boston, Massachusetts 02116
Aggregate Amount Beneficially Owned:
1,305,175 shares
Percent of Class Represented:
5.29%
Filing Category:
Rule 13d-1
SEC File References:
Prospectus filed pursuant to Rule 424(b)(5) on October 20, 2025; Current Report on Form 8-K filed October 20, 2025
Year:
2015
Region / City:
Bethesda, Maryland
Topic:
Corporate Annual Report
Document Type:
Report
Organization:
Lockheed Martin Corporation
Author:
Lockheed Martin Corporation
Target Audience:
Investors, regulators, stakeholders
Effective Period:
Fiscal year 2015
Date of Approval:
N/A
Date of Modifications:
N/A
Year:
2026
Region / City:
Washington, D.C.
Topic:
Financial Report
Document Type:
Report
Organization / Institution:
U.S. Securities and Exchange Commission
Author:
DoubleDown Interactive Co., Ltd.
Target Audience:
Investors, Public
Effective Period:
January 2026
Approval Date:
January 28, 2026
Modification Date:
Not specified
Year:
2025
Region / City:
Washington, D.C.
Topic:
Securities filing
Document Type:
Regulatory filing
Issuer:
Sotera Health Co
Author:
BlackRock, Inc.
Target Audience:
Regulatory bodies, investors
Period of Action:
12/31/2025
Approval Date:
01/21/2026
Modification Date:
None
Year:
2024
Region / City:
Singapore
Theme:
Securities and Exchange
Document Type:
SEC Filing
Organization:
Securities and Exchange Commission
Author:
Orangekloud Technology Inc.
Target Audience:
Investors, regulators
Effective Period:
July 2024
Approval Date:
July 24, 2024
Date of Changes:
July 24, 2024
Year:
2001
Region / City:
Georgia
Theme:
Oak Trees
Document Type:
Register
Institution:
Louisiana Garden Club Federation, Inc.
Author:
Coleen Perilloux Landry
Target Audience:
General Public
Date of Approval:
1934
Date of Modifications:
2001
Year:
2020
Region / City:
Foster City, California
Topic:
Financial report
Document type:
Annual report
Organization / Institution:
Vaxcyte, Inc.
Author:
Vaxcyte, Inc.
Target Audience:
Investors, analysts, regulatory authorities
Period of Validity:
2020 fiscal year
Approval Date:
N/A
Date of Amendments:
N/A
Year:
2025
Region / City:
Washington, D.C.
Topic:
Securities Listing and Registration
Document Type:
Notification
Issuer:
Exela Technologies, Inc.
Target Audience:
Securities Regulators, Investors
Effective Period:
January 17, 2025
Approval Date:
January 17, 2025
Date of Changes:
Not specified
Year:
2025
Region / City:
United States / Washington, DC
Subject:
Securities Reporting
Document Type:
Regulatory Form
Institution / Agency:
Securities and Exchange Commission
Author:
Securities and Exchange Commission
Target Audience:
Institutional investment managers
Period of Validity:
Until September 30, 2025
Approval Date:
July 2023
Date of Changes:
July 2023
Note:
Year
Year:
2021
Region / City:
EU
Topic:
Supervisory Reporting, Reclassification of Positions
Document Type:
Regulatory Amendment
Institution:
European Commission
Author:
European Commission
Target Audience:
Financial institutions, regulatory bodies
Effective Period:
Ongoing, with specific references to regulation dates
Approval Date:
Not specified
Date of Changes:
2021
Year:
2025
Region / city:
Australia
Subject:
Electronic court books for virtual courtrooms
Document Type:
Template / Guideline
Institution:
Supreme Court of Victoria
Author:
Unknown
Target Audience:
Legal professionals, Judicial officers, Court staff
Period of validity:
Not specified
Approval date:
Not specified
Date of changes:
Not specified
RFQ Number:
27 NAC/KCO
Title:
Printing of school books grade 2 based on NAC sample
Organization:
Norwegian Afghanistan Committee
Office:
Kabul Main Office (KCO)
Issue Date:
16 May 2022
Closing Date:
25 May 2022
Closing Time:
4:00 PM Kabul, Afghanistan Standard Time
Region:
Kabul, Badakhshan Province
Country:
Afghanistan
Document Type:
Request for Quotations
Subject:
Printing and delivery of grade 2 school textbooks
Target Suppliers:
Locally registered vendors
Delivery Location:
NAC Regional Office, Badakhshan Province
Currency:
Afghani (AFN)
Tax Conditions:
2% or 7% deduction according to registration status
Payment Terms:
Post-delivery payment by wire transfer or check
Procurement Method:
Competitive quotation
Quantity:
9,646 sets
Contract Period:
May 2022
Issuing Body Address:
Nawai Watt Street #3, House #294, Shar-e-Naw, Kabul, Afghanistan
Contact Information:
+93 790 69 82 04 / 0729610137