Annual Certified Audit Information

1. Regulatory Notice 21-05: Certain broker/dealers who submit the annual certified audit through the EDGAR system may be eligible for a 30-day submission extension. More information regarding the Regulatory Notice 21-05 can be found at

2. Facing Page – Form X-17A-5: Only the PFO/FinOp or a registered principal are permitted to sign. More information regarding Form X-17A-5 can be found at

3. Exemption Provision Assertion: AICPA exemption report examples can be found at AICPA.

4. Broker Dealer Annual Audited Financial Statement Compliance Checklist.