Rule 17a-5(d) requires every broker or dealer registered pursuant to section 15 of the Act to file annually, on a calendar or fiscal year basis, a report which shall be audited by a PCAOB registered independent public accountant. FINRA members must file an Annual Audited Report not more than 60 calendar days after the date selected for their fiscal year end. Additionally, all FINRA members who are members of SIPC and who are required to file Annual Reports pursuant to SEC Rule 17a-5(d)(1), 17 C.F.R. § 240.17a-5(d)(1), must also file a copy of their Annual Reports electronically with SIPC. Email the Annual Reports to SIPCAuditReports@sipc.org, and in the subject line, please include the SEC 8- number, the name of the member, and the fiscal year end for the Annual Reports.
BD Financial Services Group is not a CPA firm or PCAOB-registered accounting firm and though it does provide various financial services it does not conduct audits or provide accounting services. BD Financial Services Group does, however, work with PCAOB-registered CPA’s that are committed to providing broker-dealers with high quality, independent audits. BD Financial Services Group understands that small, independently-owned broker-dealers are primarily interested in receiving a compliant audit at a very competitive price, being able to communicate with the auditor regarding the progress and status of the report and receiving the report in a timely fashion.
The principals of BD Financial Services Group are prepared to discuss your audit needs, and, when requested, to assist its clients and client’s auditors to facilitate the compilation and/or completion of the report.