Annual Financial Statements
All firms (except for fully disclosed firms that never carry customer accounts) must file a yearly financial report that has been audited by an independent public accountant. Reports must be filed with the regional office of the SEC at which the firm has its principal place of business. The Annual Audited Report (Form X-17A-5 Part III) must include a Statement of Financial Condition, a Statement of Income, a Statement of Changes of Financial Condition and supporting schedule
