See below our updated Annual PCAOB Certified Audit Checklist.
Monthly Archives: November 2019
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2020
Regulatory Notice 19-35
Payment Deadline: December 16, 2019
Summary:
The 2020 Renewal Program begins on November 11, 2019, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms.