August 01, 2017 BY Valentina Kirilova
SIPC and FINRA streamline reporting process for broker-dealers
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 September 1, firms that currently…
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