1_002Our team of regulatory reporting experts are professionals registered with FINRA as Financial and Operations Principals and are currently responsible for recordkeeping and regulatory reporting for about 100 clients. In many cases, we also provide such services for their parent, subsidiaries and other affiliates. Many of our regulatory staff members are Certified Public Accountants by profession.


Services in this area include:

  • Preparation and oversight of broker dealers’ books and records
  • Net capital computations/monitoring net capital compliance
  • Periodic FOCUS, SSOI, SIPC and other filings
  • Financial statement preparation
  • Accounting and software support

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