Annual Reporting Updates Part II (Duration: 36 Minutes)

Complete your annual reporting preparation with this focused session on avoiding common audit reporting mistakes. Learn from FINRA staff about frequent pitfalls that can delay or complicate your annual audit process.

FINRA Speakers:

• Anthony Vinci, Senior Director, OFORP
• Mark Ramler, Director, OFORP
• Mariel Krefft, Senior Principal Analyst, Risk Monitoring

Resources:

• Regulatory Notice 21-05: SEC Grants FINRA Request for 30-Day Filing Extension for Smaller Broker-Dealers
• SEA Release No. 91128 (February 12, 2021) (Order Extending the Annual Reports Filing Deadline for Cetain Smaller Broker-Dealers)
• FINRA Annual Audit Extension of Time Request Policy
• SEA Rule 17a-5 and Related Interpretations
• New/Updated Regulatory Notifications Technical Webinar (2/4/25)
• Regulatory Notice 23-21: FINRA Reminds Member Firms of Net Capital, Recordkeeping and Financial Reporting Requirements in Connection with Revenue Recognition Practices
• FINOP Focus Series – On-Demand Recordings