Series 27: Customer Statements

Customer Statements

Now we’ve discussed the FOCUS reports and the annual financial statement. Are we done with reports? Not even close.

All carrying firms must further provide customers with audited and unaudited financial statements (collectively known as customer statements). The audited financial statement should be an abridged version of the annual financial statement (i.e., the statement discussed in the previous section), and must be filed annually within 105 days of the date of that statement. The unaudited financial statement must be filed annually and dated to six months after the