BD- Broker-Dealer Replacement of Accountant Notice

The Broker-Dealer Replacement of Accountant Notice serves as an important part of a broker-dealer’s overall compliance program by meeting certain financial reporting requirements under SEA Rule 17-5(f)(3). In accordance with SEA Rule 17-5(f)(3), broker-dealers must file a notice with the SEC and its designated examining authority not more than 15 business days after any change or notification of change involving its designated independent public accountant.  The Notice allows broker-dealers to provide sufficient notice to SEC & FINRA related to changing its designated independent public accountant for purposes of conducting financial audits.

Version/Update: V.5/October 01, 2018

Total Page Count: 1

Source/Author(s): Connexien