2025 Broker-Dealer Filing Guide

Simplify Compliance with Confidence

BD Requirements Guide-1

Navigating the complex web of SEC, FINRA, and SIPC requirements can overwhelm even the most seasoned broker-dealers—but it doesn’t have to. Whether you're launching a new firm or managing annual filings, this guide offers a clear, actionable roadmap backed by Keiter’s expert insights. Streamline your compliance, safeguard your reputation, and add strategic value at every stage.

 

    • Step-by-step clarity on SEC, FINRA, and SIPC registration and filing requirements

    • Detailed instructions for completing and submitting forms like Form BD, SIPC-7, and FOCUS Reports

    • Audit deliverables explained, including public and confidential audit opinions and exemption reports

    • Key deadlines and document checklists to ensure timely and compliant submissions

    • Expert guidance from Keiter professionals on exemptions, audits, and agreed-upon procedures (AUPs)

    • Support for both new and established broker-dealers—we help you navigate complexity with confidence