SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending May 31, 2016)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment … Continue reading SIPC Assessment (Year ending December 31, 2015) SIPC 6
Beginning August 1, 2016, firms that report information to OATS will be required to include on their reports the identity of U.S.-registered broker-dealers that are not FINRA members and broker-dealers … Continue reading SEC Approves OATS Amendments to Require Identification of Non-FINRA Member Broker-Dealers