Complimentary Broker-Dealer Financial Statement Template Designated Examining Authorities (DEA) Requirements Broker-dealers can meet their regulatory requirements through accurate and timely financial reporting.  This includes monthly and/or quarterly regulatory filings, including FOCUS Reports, Supplemental Statements of Income, and Form Custody Reports.  In addition, broker-dealers are required to file an annual report as specified under SEA Rule … Continue reading Sample Template to Help Broker-Dealers Meet Regulatory Requirements