FINRA Notifies Member Firms That SEC Now Permits Electronic Filing of Broker-Dealer and OTC Derivative Dealer Annual Reports
FINRA notified members that, pursuant to an updated SEC Division of Trading and Markets no-action letter, broker-dealers and OTC derivative dealers may file annual and supplemental reports required by Securities Exchange Act Rules 17a-5 and 17a-12 with the SEC electronically in lieu of submitting the reports in paper form. FINRA also noted that the reports must be filed electronically through the SEC's Electronic Data Gathering, Analysis and Retrieval ("EDGAR") system.
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FINRA reminded broker-dealers and over-the-counter derivatives dealers that they may file their required annual and supplemental reports electronically with the SEC through its Electronic Data Gathering, Analysis and Retrieval system.
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