My experience was about four years ago, a group of my clients, I'm a business broker, we're in the process of buying a shell company, wanted to change the Qusip # and ticker symbol. We were working with an SEC law firm, and one of the first things Finra wanted us to do was to produce an audit of the assets. So we paid for an audit and doing so we also paid for a full annual audit. And that satisfied Finra and we were good to go.
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