Annual Audit

U.S. Securities and Exchange Act Rule 17a-5 requires that FINRA member firms file an Annual Audited Report not more than 60 calendar days after the date selected for their fiscal year end. Additionally, all FINRA members who are members of SIPC and who are required to file Annual Reports pursuant to SEC Rule 17a-5(d)(1), 17 C.F.R. § 240.17a-5(d)(1), must also file a copy of their Annual Reports with SIPC. See SEC Rule 17a-5(d)(6), 17 C.F.R. § 240.17a-5(d)(6). Annual Reports must be filed with SIPC electronically. Email the Annual Reports to SIPCAuditReports@sipc.org, and in the subject line, please include the SEC 8- number, the name of the member, and the fiscal year end for the Annual Reports.

 

The following information can assist firms in completing their reports:

 


Please contact your firm's assigned Regulatory Coordinator with any questions.

Last Updated: 10/27/2014