Reminder: Public Accountant Independence Statement Due ~ Dec 10th
In 2013, the SEC added a requirement for broker-dealers to identify their independent public accountant. Pursuant to amended paragraph (f)(2) of SEA Rule 17a-5, broker-dealers must file a statement with the SEC and FINRA regarding this information. The deadline for the yearly filing is December 10th.
- If the broker-dealer filed a “Statement Regarding Independent Public Accountant” between June and December 2014 and the contractual commitment between the broker-dealer and the independent public accountant was of a continuing nature, then the broker-dealer does not need to file again in 2015.
- This statement can now be filed electronically via the FINRA Firm Gateway.