Series 28: Independent Public Accountant Exemptions

Taken from our Series 28 Online Guide

Independent Public Accountant Exemptions

A member firm is not required to engage an independent public accountant to provide annual reports if, since the date of the broker-dealer’s registration or since the previous annual reports were filed, the broker-dealer has solely been engaged as agent for a securities issuer. In other words, a firm is exempt if it has:

• Never held any

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