Executive Summary
In 2013, the SEC amended paragraph (f)(2) of SEA Rule 17a-5 to revise the statement regarding identification of a broker-dealer’s independent public accountant that broker-dealers must file with the SEC and FINRA, as specified in the rule. The new requirement became effective on June 1, 2014. This Notice is to announce that FINRA is making available, through the Firm Gateway, a new template (referred to as the Rule 17a-5(f)(2) Statement) for members to file electronically with FINRA pursuant to the rule. Pursuant to NASD Rule 3170, all such statements must be filed with FINRA electronically, using the new template.
Based on discussions with staff of the SEC Division of Trading and Markets, this Notice is also providing a set of Frequently Asked Questions for members’ guidance.
Questions concerning this Notice may be directed to the member’s Regulatory Coordinator.
The Rule 17a-5(f)(2) Statement is attached to this Notice as Attachment A.
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