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, and the subject line must include the SEC 8- number, the name of the member, and the fiscal year end for the Annual Report being filed. Please do not send any other SIPC report ( e.g. SIPC 6 or 7 or 3) in the same email as the annual audit report. Also, include only one member's audit report per email.

The following information can assist firms in completing their reports:

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