| 2025-09-09 |
Liberty Financial Group, Inc. - Parent Only |
I.S.9 |
I.S.9: Synthetic Customer Longs |
CAD |
No |
68 - 74 Days |
2354390.18 |
Day 56 |
Liberty Financial Group, Inc. - Parent Only |
Treasury Operations |
Other Supervised Non-Bank Financial Entity |
Yes |
2648170.23 |
Yes |
Day 30 |
Secured |
No |
40.53 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
JPY |
Yes |
Day 21 |
3348881.87 |
83 - 90 Days |
Liberty Financial Group, Inc. |
Fixed Income Trading |
Non-Financial Corporate |
No |
2759260.66 |
No |
Day 33 |
Secured |
No |
2.29 |
| 2025-09-09 |
Liberty International Finance Ltd. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
EUR |
Yes |
Day 21 |
3074348.89 |
Day 10 |
Liberty Mortgage Services Corp. |
Investment Banking Capital Markets |
Bank |
Yes |
3171509.32 |
No |
Day 50 |
Secured |
Yes |
24.21 |
| 2025-09-09 |
Liberty Mortgage Services Corp. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
JPY |
No |
Day 50 |
4988669.74 |
Day 49 |
Liberty Capital Markets Inc. |
Prime Brokerage |
Other Supranational |
Yes |
5590005.00 |
No |
Day 24 |
Secured |
Yes |
9.15 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
JPY |
Yes |
Day 12 |
2577955.09 |
Day 21 |
Liberty National Bank |
Repo Desk |
Central Bank |
No |
2933688.49 |
Yes |
Day 43 |
Secured |
Yes |
5.60 |
| 2025-09-09 |
Liberty International Finance Ltd. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
EUR |
Yes |
Day 12 |
4945372.02 |
151 - 179 Days |
Liberty Financial Group, Inc. - Parent Only |
Prime Brokerage |
Central Bank |
Yes |
5022026.53 |
Yes |
91 - 120 Days |
Secured |
Yes |
3.79 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
CAD |
Yes |
Open |
2409750.70 |
Day 47 |
Liberty Capital Markets Inc. |
Investment Banking Capital Markets |
Sovereign |
Yes |
2675238.84 |
Yes |
Day 16 |
Secured |
Yes |
4.50 |
| 2025-09-09 |
Liberty International Finance Ltd. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
USD |
No |
Day 37 |
316387.81 |
83 - 90 Days |
Liberty Financial Group, Inc. |
Securities Financing |
MDB |
Yes |
257127.21 |
Yes |
Day 35 |
Secured |
No |
41.24 |
| 2025-09-09 |
Liberty Financial Group, Inc. - Parent Only |
I.S.9 |
I.S.9: Synthetic Customer Longs |
CAD |
No |
Day 12 |
2326295.15 |
Day 41 |
Liberty Mortgage Services Corp. |
Repo Desk |
Other |
Yes |
1909445.93 |
Yes |
>5 Yr |
Secured |
No |
9.89 |
| 2025-09-09 |
Liberty Financial Group, Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
EUR |
No |
Day 50 |
4688295.70 |
Perpetual |
Liberty Financial Group, Inc. |
Prime Brokerage |
Sovereign |
Yes |
3884821.87 |
Yes |
Day 38 |
Secured |
No |
28.32 |
| 2025-09-09 |
Liberty International Finance Ltd. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
EUR |
No |
>4 Yr <= 5 Yr |
4700743.14 |
Day 13 |
Liberty Financial Group, Inc. - Parent Only |
Fixed Income Trading |
Non-Financial Corporate |
No |
4365979.25 |
No |
Day 24 |
Secured |
Yes |
40.87 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
JPY |
Yes |
Day 38 |
1788530.17 |
Day 35 |
Liberty Mortgage Services Corp. |
Equity Trading |
Financial Market Utility |
No |
1513305.79 |
No |
83 - 90 Days |
Secured |
No |
35.58 |
| 2025-09-09 |
Liberty Mortgage Services Corp. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
JPY |
Yes |
Day 19 |
3576938.02 |
61 - 67 Days |
Liberty Financial Group, Inc. - Parent Only |
Securities Financing |
Small Business |
Yes |
2959068.23 |
No |
Day 26 |
Secured |
Yes |
47.04 |
| 2025-09-09 |
Liberty Financial Group, Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
EUR |
No |
Day 2 |
216799.98 |
Day 47 |
Liberty Capital Markets Inc. |
Prime Brokerage |
Financial Market Utility |
Yes |
200362.94 |
No |
>5 Yr |
Secured |
Yes |
46.89 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
EUR |
No |
>4 Yr <= 5 Yr |
1764144.86 |
>3 Yr <= 4 Yr |
Liberty National Bank |
Fixed Income Trading |
Sovereign |
Yes |
1730986.20 |
Yes |
Day 38 |
Secured |
Yes |
21.50 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
JPY |
No |
Day 48 |
471172.09 |
Day 35 |
Liberty National Bank |
Asset Management Services |
Other Supervised Non-Bank Financial Entity |
Yes |
419435.50 |
Yes |
Day 53 |
Secured |
Yes |
2.26 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
USD |
Yes |
Day 24 |
4354728.22 |
Day 46 |
Liberty Capital Markets Inc. |
Fixed Income Trading |
Other |
Yes |
3541393.20 |
Yes |
Day 38 |
Secured |
No |
6.62 |
| 2025-09-09 |
Liberty Financial Group, Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
GBP |
No |
Day 13 |
3264647.67 |
Day 38 |
Liberty International Finance Ltd. |
Securities Financing |
Small Business |
Yes |
3338517.58 |
Yes |
Day 14 |
Secured |
No |
29.64 |
| 2025-09-09 |
Liberty Financial Group, Inc. - Parent Only |
I.S.9 |
I.S.9: Synthetic Customer Longs |
JPY |
No |
Day 45 |
3630857.85 |
Day 31 |
Liberty Financial Group, Inc. |
Treasury Operations |
Broker-Dealer |
No |
3528095.80 |
No |
Day 29 |
Secured |
Yes |
8.89 |
| 2025-09-09 |
Liberty National Bank |
I.S.9 |
I.S.9: Synthetic Customer Longs |
GBP |
Yes |
Day 34 |
1494392.05 |
Day 4 |
Liberty Mortgage Services Corp. |
Prime Brokerage |
Bank |
No |
1615937.90 |
Yes |
Open |
Secured |
No |
13.87 |
| 2025-09-09 |
Liberty Financial Group, Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
USD |
Yes |
Day 29 |
4894784.46 |
Day 4 |
Liberty International Finance Ltd. |
Securities Financing |
Financial Market Utility |
Yes |
5295434.65 |
No |
Day 14 |
Secured |
Yes |
41.19 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
CAD |
Yes |
Open |
4611988.87 |
Day 22 |
Liberty National Bank |
Repo Desk |
Other |
Yes |
3935109.36 |
No |
Day 8 |
Secured |
Yes |
34.72 |
| 2025-09-09 |
Liberty National Bank |
I.S.9 |
I.S.9: Synthetic Customer Longs |
EUR |
No |
Day 50 |
4432047.55 |
91 - 120 Days |
Liberty Financial Group, Inc. |
Fixed Income Trading |
PSE |
Yes |
4048234.94 |
No |
Day 4 |
Secured |
No |
23.36 |
| 2025-09-09 |
Liberty National Bank |
I.S.9 |
I.S.9: Synthetic Customer Longs |
USD |
No |
Day 34 |
3290912.00 |
Day 36 |
Liberty Financial Group, Inc. - Parent Only |
Fixed Income Trading |
Retail |
No |
3919013.01 |
Yes |
Day 31 |
Secured |
No |
16.00 |
| 2025-09-09 |
Liberty Financial Group, Inc. |
I.S.9 |
I.S.9: Synthetic Customer Longs |
EUR |
Yes |
Day 5 |
4096262.58 |
Day 18 |
Liberty International Finance Ltd. |
Asset Management Services |
Retail |
Yes |
3886030.62 |
Yes |
Day 53 |
Secured |
No |
15.03 |