Series 26: Customer Statements Of Financial Condition

Taken from our Series 26 Online Guide

Customer Statements of Financial Condition

Broker-dealers (except some introducing firms or firms dealing only in mutual funds) must file a copy of the most recent Statement of Financial Condition with the SEC and FINRA, and deliver the statement to their customers every six months, one audited, one unaudited. Filing this report may be exempted if the firm meets a series of criteria, including the requirement to post the information on its website within a prescribe

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