United States:
FINRA and SIPC Consolidate Annual Report Filings
17 August 2017
Cadwalader, Wickersham & Taft LLP
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FINRA and the Securities Investor Protection Corporation
("SIPC") agreed to simplify the annual report filing
process for members. Under the new services agreement, members that
currently file separate annual reports with FINRA and SIPC will be
able to file a single report through FINRA's reporting portal.
The simplified filing process is intended to reduce compliance
costs and decrease the number of incomplete or inconsistent
filings. The changes will become effective on September 1,
2017.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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