Register a senior representative as your Financial and Operations Principal
File Focus Reports (monthly and/or quarterly) and Net Capital Computation
File SSOI
Prepare annual Schedule 1 filing
File annual audit via CRD Gateway
File SIPC Reports
General Ledger account reconciliation
Trial Balance
Statement of Income
Statement of Financial Condition
Prepare journal entries
Bank and Clearing Firm Statements and prepare reconciliation
Income & Expense Statements
Monthly discussion with management to review FOCUS and Net Capital