Series 28: Confidentiality

Confidentiality

If a Statement of Financial Condition is bound separately from the rest of an audited annual financial statement, that report is considered confidential, as long as each page is so labeled. However, whether confidential or not, annual reports must be available for official use by any U.S. or state regulators—as well as by any national securities exchange or national securities associations of which the broker-dealer is a member.