FINOP and Regulatory Reporting

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.

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.

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SOLUTIONS IN THIS AREA INCLUDE:
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SOLUTIONS IN THIS AREA INCLUDE:

  • 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

  • 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

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NEW YORKLessLess
NEW YORKLess

39 Broadway, Suite 3300

New York, NY 10006 

Telephone: 212-509-7800

39 Broadway, Suite 3300

New York, NY 10006 

Telephone: 212-509-7800

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NEW JERSEYLessLess
NEW JERSEYLess

475 Springfield Avenue, Suite 301

Summit, NJ 07901 

Telephone: 908-743-1300

475 Springfield Avenue, Suite 301

Summit, NJ 07901 

Telephone: 908-743-1300

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FLORIDALess
FLORIDA

7000 W Palmetto Park Rd., Suite 503

Boca Raton, FL 33433 

Telephone: 561-453-3800

7000 W Palmetto Park Rd., Suite 503

Boca Raton, FL 33433 

Telephone: 561-453-3800

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*SOC 1 Type 2 certification only covers: 

Fund Accounting, Administration and Investor Services.

*SOC 1 Type 2 certification only covers: 

Fund Accounting, Administration and Investor Services.

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ABOUT US
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ABOUT US          SOLUTIONS         INSIGHTS          CONTACT         INVESTOR LOGIN 
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