Tag Archives: SIPC

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