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Compliance

Please note: This item is from our archives and was published in 2006. It is provided for historical reference. The content may be out of date and links may no longer function.

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The SEC extended an order it originally issued in 2003 that allows nonpublic broker-dealers to continue filing with the commission balance sheets and income statements—and sending their customers a balance sheet—certified by independent public accountants, rather than by public accounting firms registered with the PCAOB ( www.sec.gov/rules/other/34-52909.pdf ). The extension is effective for fiscal years that end before January 1, 2007.