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Tag Archives: SEC Rule 17a-5

FINRA Posts Policy for Annual Financial Audit Extension Requests

January 12, 2011Legal AlertsAnnual Audit, SEC Rule 17a-5Michael Schaps

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 … Continue reading FINRA Posts Policy for Annual Financial Audit Extension Requests →

FINRA Renews Focus on Intercompany Expense Sharing Agreements

December 14, 2009Legal AlertsExpense Agreements, SEC Rule 15c3-1, SEC Rule 17a-5Michael Schaps

FINRA Renews Focus on Intercompany Expense Sharing Agreements In October 2003, FINRA issued NASD Notice to Members 03-63 (the Notice to Members) in which the SEC issued guidance on the … Continue reading FINRA Renews Focus on Intercompany Expense Sharing Agreements →

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