Broker Dealer Audit Due Dates and Compliance

Broker Dealers must submit an annual independent certified audit to both FINRA, the SEC, and SIPC (if applicable).  These annual audits must be submitted no later than 60 days after fiscal year end.  For example if year end is December 31, 2020 then the annual audit is due to regulators on or before March 1, 2020. Additional regulatory and annual filing requirements can be found here.

FINRA has available various templates, compliance tools, and a compliance calendar on their website.  You can access more specific information here.

If you are in need of an audit and would like to discuss how our firm can save you time and money, please call Mike Coglianese at 630-351-8942 or email Mike@cogcpa.com.