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Illustrative compliance and exemption reports - 2023 guide

Mar 08, 2024 · 152.5 KB Download

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The following illustrative compliance and exemption reports have been developed by the AICPA Stockbrokerage and Investment Banking Expert Panel and staff and reviewed by the SIFMA’s Financial Management Society. These reports are required by SEC Rule 17a-5. The report is the responsibility of the firm making such report, and the AICPA and SIFMA recommend that firms seek the advice of their own legal and/or other advisers with respect to their compliance reports. Please refer to the AICPA Accounting Guide Brokers

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