Annual Audit

Securities and Exchange Commission (SEC) Rule 17a-5 requires that members of FINRA file an Annual Audited Report not more than 60-calendar days after the date selected for their fiscal year end. For the convenience of the member firms, FINRA is providing the following essential information needed to complete the Annual Audited Reports:

 

• Submission Information and Address
• SEC form X-17A-5 Part III
• SEC Addresses
• SEC Rule 17a-5 can be found in the online NASD Manual.
• Annual Audit Due Dates
• NASD Notice to Members 01-54: SEC Approves Proposed Additions to the List of Rules Appropriate for Disposition as Minor Violations of Rules and for the Establishment of Late Fees for Certain Filings and Reports
• SEC's Guidance Regarding PCAOB Audits
• Designation of Accountant Form (PDF 9 KB)

Mail Deliveries to FINRA

Based upon the advice of the U.S. Postal Service and law enforcement authorities, FINRA and its family of companies will no longer open or accept any mail (envelopes or packages) that does not have complete return names and addresses. Please be sure when sending mail to FINRA that your information is fully and appropriately labeled. 

If member firms have any questions, please contact Eleanor Sabalbaro by email or at (240) 386-5161.