Have you filed your Statement Regarding Independent Public Accountant form?
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This year, the SEC is requiring every Broker/Dealer to file form Statement Regarding Independent Public Accountant under Rule 17a-5(f)(2).
Continuing BAI clients can expect a copy of this form in their engagement package. Please email Lori Brown at email@example.com if you need an additional copy.
Prospective clients are welcomed to call us at (800) 848-0008 with any questions regarding the new requirement.