BD- FINRA Statement Regarding Independent Public Accountant
BD- FINRA Statement Regarding Independent Public Accountant
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FINRA’s Statement Regarding Independent Public Accountant under SEC Rule 17a-5(f)(2) (referred to as the Rule 17a-5(f)(2) Statement) is a useful template for broker-dealers to use when identifying its independent public accountant to FINRA. This template, which can also be found on the Firm Gateway, must be completed and filed electronically with FINRA in accordance with Regulatory Notice 14-39 and FINRA Rule 4517. Members also viewed/downloaded the Broker-Dealer Replacement of Accountant Notice.
Version/Update: V.U/October 2014
Total Page Count/Format: 2/.pdf
Source/Author(s): FINRA