4205. Audited or unaudited summary statement of financial position

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    1. The summary statement of financial position must either be:

      1. audited and accompanied by:

        1. a report prepared by the Dealer Member’s auditor stating that it fairly summarizes the financial position of the Dealer Member, and

        2. notes disclosures specified by the Dealer Member’s auditor,

      2. or

      3. unaudited and:
        1. generated from within the Securities Industry Regulatory Financial Filings system using information from the most recent audited Form 1of the Dealer Member,
        2. certified by the Dealer Member’s Chief Financial Officer, and
        3. accompanied by note disclosures that at a minimum describe, management’s responsibility for the summary statement of financial position, and the basis of accounting and restriction on the use of the summary statement of financial position.

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