FS Chatroom | SEC Extension for Broker-Dealer Annual Reporting Deadline

February 17, 2021

Description

The SEC issued a release extending the annual reporting filing deadline for certain smaller broker-dealers by 30 calendar days. The SEC’s release points out some of the challenges that firms and broker-dealers faced under the short 60-day window.

DISCLAIMER:  All information shared on this podcast extends from reputable sources. The views expressed here are meant to serve as suggestive guidance, based on the knowledge and expertise of the host and guests.  

Speakers:
Charles Abraham | Email: Charles.Abraham@MazarsUSA.com
Samuel Pizzichillo | Email: Samuel.Pizzichillo@MazarsUSA.com

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