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.

Beginning September 1, 2017, all members that file Annual Reports with their DEA through the FINRA Firm Gateway will use the FINRA Firm Gateway to also file their Annual Reports with SIPC. After September 1, 2017 SIPC will deem any Annual Report received other than through the FINRA Firm Gateway as not having been filed with SIPC. 

The following information can assist firms in completing their reports:

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