Tag Archives: Annual Audit

Annual Audit Filing Due Date (Period Ending 03/31/2019)

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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending 03/31/2019)

Annual Audit Filing Due Date (Period Ending April 30, 2018)

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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending April 30, 2018)

Annual Audit Filing Due Date (Period Ending March 31, 2018)

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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending March 31, 2018)

SIPC / FINRA Streamline Broker/Dealer Reporting Process

The Securities Investor Protection Corporation (SIPC) and the Financial Industry Regulatory Authority (FINRA) recently announced a joint services agreement that was designed by the agencies to ease the reporting burdens and compliance costs for FINRA member firms by allowing the firms to file just once with FINRA.  It is hoped that the new, simplified filing process, … Continue reading SIPC / FINRA Streamline Broker/Dealer Reporting Process

FINRA and SIPC Streamline Reporting Process

The Securities Investor Protection Corporation (SIPC) and the Financial Industry Regulatory Authority (FINRA) have announced a services agreement designed to ease reporting burdens and compliance costs for member firms. The new, simplified filing process will also reduce inconsistent or incomplete filing of annual audited financial statements and supplementary reports. Effective Sept. 1, firms that currently … Continue reading FINRA and SIPC Streamline Reporting Process

PCAOB Adopts New Rules for Audit Reports

The Public Company Accounting Oversight Board (PCAOB) has adopted new rules and amendments to auditing standards (collectively, the “proposed rules”) to make the auditor’s report more informative and relevant to investors and other financial statement users. The text of the proposed rules appears in Exhibit A to the SEC Filing Form 19b-4 and is available … Continue reading PCAOB Adopts New Rules for Audit Reports

Annual Audit Filing Due Date (Period Ending June 30, 2016)

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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending June 30, 2016)

Annual Audit Filing Due Date (Period Ending May 31, 2016)

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) via mail or overnight carrier not more than 60-calendar days after the date selected for their fiscal year end. The Annual Audit must also be … Continue reading Annual Audit Filing Due Date (Period Ending May 31, 2016)

Update on FINRA Financial Rules

Annual Audited Financial Report Submission The Financial Industry Regulatory Authority (FINRA) announced in Regulatory Notice 11-46 that commencing November 8, 2011, member firms having a fiscal year end on or after September 30, 2011 are required to file their annual audited financial reports electronically through the firm’s FINRA Gateway. The filings must include the signed … Continue reading Update on FINRA Financial Rules

FINRA Posts Policy for Annual Financial Audit Extension Requests

Most of the posted FINRA policy related to the granting of extensions for the filing of annual financial audits contains nothing surprising; however, it is clear that FINRA has had a significant shift in its policy with respect to the length of extension that it will grant. Historically, it was not unusual to request, and receive, … Continue reading FINRA Posts Policy for Annual Financial Audit Extension Requests

Time Runs Out On PCOB Deadline

Time Runs Out On the Public Company Accounting Oversight Board DeadlineThe Public Company Accounting Oversight Board (“PCAOB”) was established by the Sarbanes-Oxley Act, of 2002 (the “Act”). The purpose of the Act was to oversee the audit of public companies that are subject to the securities laws to protect the interests of investors and further … Continue reading Time Runs Out On PCOB Deadline