Broker-Dealer
Financial Statement Filing Requirements

Financial Statement Filing Requirement: No fee. A complete audited financial statement must be filed directly with and received by the Bureau on or before the 60th day from the date of the firm's fiscal year end [FYE]. An automatic extension of time to file, up to a period of 60 days (which will then make the financial statement due within 120 days from the firm's FYE), will be granted upon receipt by the Bureau of a written request from the firm. If an extension of time to file is granted by the SEC or FINRA and a copy of confirmation of such extension is received by the Bureau within 60 days from the firm's fiscal year end, such extension will be honored by the Bureau. A statutory $25 per day penalty will be assessed for each day the filing is late beyond the initial (60 days) or extended (120 days or FINRA/SEC extension) time period.