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Accountant's Reports

Accountant's Reports

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Annual Accountant’s Report filings are due within 120 days of your brokerage’s fiscal year end.

How to Submit

  • Fiscal year ends prior to December 31, 2022

    1. Download the required forms from below:
      1. Accountant’s Report Form OR Trust Account Declaration Form
      2. Brokerage Activity Report Form
    2. Complete the required forms, ensuring that all bank accounts, including the general account(s), are listed. Merge all forms and the required Review Engagement financial statements (or Compilation Engagement, if authorized) into a single PDF file.
    3. Email the complete filing to [email protected] on or before the due date.

  • Fiscal year ends on or after December 31, 2022

    1. Download the required forms below:
      1. Accountant’s Report Form OR Trust Account Declaration Form
      1. Brokerage Financial Information Filing
    2. Complete the required forms, ensuring that all bank accounts, including the general account(s) are listed. Save a copy of the required forms, including the required Review Engagement financial statements (or Compilation Engagement, if authorized) to your system.
    3. Log into IRIS.
    4. Upload the Accountant’s Report or Trust Account Declaration and financial statements to the Accountant’s Report Filings submission page.
    5. Upload the Brokerage Financial Filing to the Brokerage Financial Information Filing submission page.