Resources/ Updates

Nov09

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.

Related Documents:

SDDCO – New FINRA e-Filing Form ~ Oct 9, 2014

New Template Available on FINRA Firm Gateway…(Statement Regarding Independent Public Accountant) ~ RN 14-39 ~ Oct. 2014)

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in two industries.

Our know-how and our network supports the financial services & tech industries.

We hold the right training and licensures to keep you in step and mitigate risk.

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Partner with us for start-ups and for ongoing accounting, compliance and tax work.

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Our inaugural firm began
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