Series 28: Notification Of Change Of Fiscal Year

Taken from our Series 28 Online Guide

Notification of Change of Fiscal Year

In the event any broker-dealer needs to change its fiscal year (because of a merger with another company, for instance), it must notify the SEC and FINRA. The notice must contain a detailed explanation of the reasons for the change. Any change in the filing period for the audit report must be approved by FINRA.

SEC Rule 17a-5(n)

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