FINRA Report Filings for Next Year

FINRA has put out a schedule for its member broker-dealers with the due dates for report filings that are due in 2017 or in the first quarter of 2018. This notice serves as a reminder to help FINRA and SEC registered broker-dealers stay compliant by filing reports on or before their required due dates. Late filings can result in fees and in suspension of FINRA membership. Annual Audit Reports Like all report filings submitted to FINRA, the annual audit report is to be filed electronically. Additionally, member firms must file the report at the regional office of the SEC in Read more about FINRA Report Filings for Next Year[…]