BD- 2022 State Requirements for Annual Audited Financial Statements NY Office of the Attorney General Library The Compliance Certification for Non-Registered

The Compliance Certification for Non-Registered Covered Persons is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations

Our one-time fee for Annual Updates covers regulatory updates to new and existing SEC & FINRA rules and regulatory notices for members using our OSJ Branch Audit Template

investment adviser firms must safeguard its customer information and ensure confidentiality

5/November 10

BD- 2022 State Requirements for Annual Audited Financial Statements NY Office of the Attorney General Library The Compliance Certification for Non-RegisteredThe 2022 State Requirements for Broker Dealer Annual Audited Financial Statements list is intended to keep broker dealers and their accounting firms informed of updated financial reporting requirements and to be used as a guide when preparing and submitting annual audited financial statements to state regulatory agencies. The information in the 2022 State Requirements List is categorized by state and includes each state regulatory agencys mailing