The broker dealer and securities industry has been a niche industry of ours since 1989. The industry is a unique industry that is highly regulated by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
We know that meeting the regulatory, financial statement presentation, and internal controls requirements are critical to our clients. Our experience gives us an advantage in efficiency and enables us to stay on top of the constant changes in the broker dealer regulatory environment.
Since 2009, the SEC requires that auditors of non-public broker-dealers be registered with the Public Company Accounting Oversight Board (PCAOB). Our firm has been registered with the PCAOB since 2009.
Other securities industry services we offer include the following:
- Investment company and venture capital audit services
- Surprise audits required for certain registered investment advisory firms
- Tax planning and tax return preparation
- Testing and structuring of internal controls
- Consulting on financial reporting and presentation issues
In summary
With over three decades of specialization in the broker dealer and securities industry, our firm has established itself as a trusted expert since 1989. This unique sector, governed by strict regulations from the SEC and FINRA, demands precision in meeting regulatory, financial statement, and internal controls requirements. Leveraging our extensive experience, we excel in efficiency and adaptability to navigate the ever-evolving broker dealer regulatory landscape. Since 2009, our commitment to compliance led us to register with the PCAOB, ensuring adherence to SEC requirements. Our comprehensive services extend beyond audits, encompassing investment company audits, surprise audits for registered advisory firms, tax planning, internal control structuring, and expert consulting on financial reporting and presentation matters.
If you are in need of a broker dealer audit or any of our other services for the securities industry, please contact us today.