Regulatory Alerts2025-11-14 | Information Notice 11/14/25Added · Updated
SEC Amendments Relating to Electronic Filing for Annual Reports and Changes to FOCUS Reports
The SEC amended rules to require broker-dealers to submit annual reports, supplemental reports, and Form 17-H electronically via EDGAR in Portable Document Format, eliminating paper submissions effective June 30, 2025. The amendments mandate that these filings include Interactive Data Files, with compliance deadlines set for June 30, 2027, for firms with net capital of $250,000 or more, and June 30, 2029, for those below that threshold. Additionally, the rules permit electronic signatures for reports under SEA Rule 17a-5, eliminate the notarization requirement for the Oath or Affirmation, and require the retention of signed Oaths for at least six years.
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