All who have worked with FINRA know that they want what they want, when they want it. The CFO Financial Partners team has a great number of years experience with FINRA reporting and working with FINRA. From the Focus reports to the FINRA Assessment reports and everything in between, we help you deliver all that is expected in a timely manner.
We assist with:
- File Focus Reports (monthly and/or quarterly) and Net Capital Computation
- Prepare annual Schedule I filing
- File annual FINRA Assessment Report
- Review Trading activity Breaks and Errors
- Customer Unsecured debits
- Supplemental Statement of Other Income
- Form Custody Reports
- SIPC 6 & SIPC 7 Filings
- FINRA Assessments
- FINRA Financial Notifications