Corporations Elections Licensing Securities
Announcement regarding the Filing of Audited Financials by Broker-Dealers
Please be advised that the Securities Division does NOT require broker-dealers registered
with the Division to submit annual audited financial statements, or any
financial statements for that matter, to the Division, unless specifically
requested to do so by the Division.
Accordingly, broker-dealers registered with the Division
should NOT send to the
Division any of the financial statements and supporting schedules required to
be filed with the SEC pursuant to 17 CFR 240.17a-5(d)(1)(i).
This announcement in no way impacts a broker-dealers' obligation to make such filings with the SEC, the FINRA, or any state other than Georgia.
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