The Audit Checklist Every Broker Dealer Needs

A planning checklist designed to help broker dealers prepare for their next audit.

What you will find in this checklist?

Not your ordinary checklist. This checklist helps you plan and gather the required documentation needed to facilitate your audit.


20 Item Checklist

A 20-item list of the most requested documents for any Broker Dealer audit.

Assignees & Due Dates


Easily assign a staff member to gather one or more of the required documentation and provide a due date. Due dates will help to keep your audit on time and on track.


Developed by Experienced Broker Dealer Auditors

This checklist was designed by experienced broker dealer auditors to ensure your audit requirements are up-to-date and in accordance with the latest regulatory requirements.

Your Trusted Broker Dealer Auditors

First to Know About Regulatory Change

When the SEC and FINRA make changes, we are among the first to know. Armed with the latest information, we can offer you the most effective broker dealer audit services based on the current regulatory requirements.

Minimal Disruption to Operations

Problem Solvers with Plans of Action

Our accountants make sure that our procedures stay completely aligned with your business model’s needs, all while minimizing the disruption to your everyday operations. We look beyond your financial statements and consider your corporate objectives and operational structure.

If we have any concerns during our audit, we will make recommendations and help you create a plan of action to quickly maintain compliance with accounting and regulatory requirements.