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- Begin by filling in the 'Report for the Period' section, entering the start and end dates in MM/DD/YY format.
- In Section A, provide your broker-dealer name and firm ID number. Ensure you include the complete address of your principal place of business without using a P.O. Box.
- Next, enter the contact person's name and telephone number for inquiries regarding this report.
- Proceed to Section B to identify your independent public accountant. Fill in their name and address accurately.
- Select one of the options regarding your accountant's status: Certified Public Accountant, Public Accountant, or Accountant not resident in the U.S.
- Complete the Oath or Affirmation section by signing and providing your title. Ensure all required boxes are checked based on what is included in your report.
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