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Frequently Asked Questions
  Why is my Report HQ surveillance report blank?
Identification Number 1559

Many Report HQ surveillance reports generate daily regardless of whether an exception exists.  A blank spreadsheet does not necessarily mean that the Firm is complying with its market maker obligations.  A Firm must still implement its own reasonably designed supervisory system to monitor for compliance.

Publication Date*: 4/30/2024 Mailto Link Identification Number: 1559
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