Series 28 Practice Questions - Introducing Broker-Dealer Financial And Operations Principal Exam

Under SEC Rule 17a-5, how long does an introducing broker-dealer have to file its annual audited financial statements?

30 days after the fiscal year end 60 days after the fiscal year end 90 days after the fiscal year end 120 days after the fiscal year end

Correct Answer:

60 days after the fiscal year end

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