Our team of regulatory reporting experts are Licensed Series 27 and Series 28 professionals registered with FINRA as Financial and Operations Principals and are currently responsible for recordkeeping and regulatory reporting for approximately 100 clients. In many cases, we also provide services for their parent, subsidiaries and other affiliates. Additionally, many of our regulatory staff members are Certified Public Accountants.
Preparation and oversight of broker dealers’ books and records
Net capital computations/monitoring net capital compliance
Periodic FOCUS, SSOI, SIPC Form Custody, and other filings
Financial statement preparation
Accounting and software support
Annual audit support
Regulatory exam support