Broker Dealers

Broker dealers operate within an intricate framework of regulatory reporting requirements. The Securities and Exchange Commission (SEC), The Financial Industry Regulatory Authority (FINRA), The Commodity Futures Trading Commission (CFTC), and other regulatory agencies have adopted rigorous standards regarding operating procedures and controls, as well as strict reporting deadlines. As industry professionals, we have an entire network of resources to provide specialized services and accounting, audit and tax solutions for the unique regulatory and operational complexities of the brokerage and investment advisory industries. As the need for transparency and compliance becomes increasingly important as broker dealers weigh options for survival including mergers and acquisitions, we can help navigate the ever changing rules.