On November 12, 2024, Joe Puglisi, Managing Director at Integrated Solutions, participated in the NYSSCPA (New York State Society of CPAs) Broker Dealer Technical Session as part of a distinguished panel of industry experts. The session, which focused on the latest challenges and developments in the brokerage sector, brought together auditors, Financial Operations Principals (FINOPS), and other professionals to discuss key issues facing broker dealers today.

Key Topics Discussed:

• Accounting and Auditing Matters for Broker Dealers: The panel covered important updates on accounting and auditing issues affecting broker dealers, including the challenges firms are encountering in meeting the evolvi...

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Comment letter on the proposed changes to SEC Rule 17a-5

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Comment letter regarding proposed changes to FINRA Rule 3110 and the issue of branch office inspections

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Comment Letter On Release No. 34-92183

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Comment Letter - Lessons from the Covid-19 Pandemic - Regulatory Notice 20-42

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Regulatory Notice 20-04 Capital Acquisition Brokers

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Regulatory Notice 20-05 Continuing Education Program Transformation

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Regulatory Notice 17-14 Capital Formation

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Regulatory Notice 17-20

Comment Ltr CABs 2 Final