NASDAQ EXECUTION SERVICES, LLC

SEC CIK 0000810167

CIK #810167

The following is an index of Security and Exchange Commission registration information for NASDAQ EXECUTION SERVICES, LLC. This page includes all SEC filing details as well as a list of any documents registered by NASDAQ EXECUTION SERVICES, LLC.
Latest Edgar Filing Status
Updated2019-02-08
TypeBROKER-DEALER
IRS Number (EIN/SSN)134096160 ( EIN # 13-4096160)
Reporting File Number008-37329
Mailing Address2929 WALNUT STREET FMC TOWER, LEVEL 8 PHILADELPHIA, PENNSYLVANIA 19104
StateDELAWARE
Contact Phone212-381-6440
Fiscal Year End Date1231
Filings
Title
Date
Description
X-17A-5 [Paper] - FOCUS Report
2018-03-22 11:17:26-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2018-03-22 10:57:40-04:00
FOCUSN [Paper]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2017-03-21 10:36:53-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2017-03-16 13:44:39-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2016-03-18 16:01:54-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2016-03-18 15:59:42-04:00
FOCUS Report
FOCUSN/A [Amend] [Paper] - Non-public annual audit reports filed by brokers or dealers
2015-07-22 09:35:23-04:00
FOCUSN/A [Amend] [Paper]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2015-03-21 09:55:38-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2015-03-10 11:31:19-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2014-04-05 15:18:03-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2014-03-25 10:15:20-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2013-03-21 18:55:25-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2013-03-12 12:28:42-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2012-04-10 15:54:04-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2012-04-04 10:26:58-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2011-04-06 14:40:14-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2010-03-22 09:42:03-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2010-03-22 09:55:30-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2009-05-27 08:19:51-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2009-04-16 15:25:30-04:00
FOCUSN [Paper]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2008-03-24 17:22:44-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2008-03-14 16:41:10-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2007-04-26 10:48:10-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2007-03-22 10:12:19-04:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2006-07-07 17:17:57-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2006-05-25 16:55:58-04:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2005-03-31 09:04:03-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2005-03-24 09:21:43-05:00
FOCUSN [Paper]
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2004-04-07 10:42:36-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2004-03-22 18:58:31-05:00
FOCUS Report
FOCUSN [Paper] - Non-public annual audit reports filed by brokers or dealers
2003-04-17 11:45:27-04:00
FOCUSN [Paper]
X-17A-5 [Paper] - FOCUS Report
2003-03-19 19:29:52-05:00
FOCUS Report
X-17A-5 [Paper] - FOCUS Report
2002-03-01 00:00:00-05:00
FOCUS Report
NO ACT [Paper] - No Action Letter
2002-02-08 00:00:00-05:00
No Action Letter

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