BD- Broker-Dealer Quarterly Financial Reporting Checklist

The Broker-Dealer Quarterly Financial Reporting Checklist serves as an important part of a broker-dealer’s overall financial reporting procedures and processes in accordance with SEC Rules 15c3-1, 17a-3, 17a-4, and 17a-5 (collectively, the "financial responsibility rules"). As part of a firm’s quarterly review and filing process, the Broker-Dealer Quarterly Financial Reporting Checklist allows firms to document and reconcile the required quarterly financial statements and supporting documents to be prepared and maintained in order for the broker-dealer meet its ongoing financial reporting obligations.

Version/Update: V.5/July 27, 2019 (.docx)

Total Page Count: 3

Source/Author(s): Connexien