Corporations Elections Licensing Securities Charities

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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© 2012 Georgia Secretary of State