The following table compiled by the AICPA Stockbrokerage and Investment Banking Expert Panel summarizes relevant SEC requirements when a material weakness is determined to exist in a carrying broker-dealer’s internal controls over compliance under SEC Rule 17a-5.
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Reporting a material weakness under SEC Rule 17a-5 – best practices
Aug 13, 2026 · 392.1 KB Download
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File name: Best practice document for firms when reporting a MW under 17a-5 FINAL.pdf
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