Accountant's Reports

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Annual Accountant’s Report filings are due within 120 days of your brokerage’s fiscal year end.

The annual filing includes the Accountant’s Report, Brokerage Activity Report, and Review Engagement financial statements (or Notice to Reader financial statements, if authorized).

How to Submit

  1. Download the Brokerage Annual Accountant’s Report Filing Forms.
  2. Complete the forms, ensuring all bank accounts, including general bank accounts, are listed.
  3. Merge all forms and related documents into a single PDF file.
  4. Send your completed PDF document submission to [email protected] prior to your filing deadline.

Email is the preferred method of submission and paper copies are not required.

An administrative penalty may be applied to filings not received by the filing deadline. A late filing may also be forwarded to the RECBC legal department for further consideration.