Series 24: Customer Statements

Taken from our Series 24 Online Guide

Customer Statements

All carrying firms are required to provide customers with audited and unaudited financial statements. The audited statement must be filed annually within 105 days of the date the audit occurred. The unaudited financial statement must be filed annually and dated to 6 months after the date of the audited statement. Both statements must include financial balance sheets and statements of net capital. The unaudited statement must be filed within 65 days o

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