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...

The NYSSCPA Alternative Investment Fund Conference recently featured a highly engaging panel on valuation, moderated by none other than Rafael Beck, Senior Managing Director. This event brought together industry leaders to discuss the latest trends, challenges, and best practices in the valuation of alternative investments.

Key Takeaways from the Panel

1. Current Trends in Valuation: The panelists highlighted the evolving landscape of valuation, emphasizing the impact of new regulations and market dynamics. They discussed how these changes are shaping valuation methodologies and the importance of staying adaptable.


2. Challenges in Alternative Investments: One of the main topics was the unique challe...

The financial world is constantly evolving, shaped by regulations, innovations, and the dynamic interplay between market forces. Amidst this landscape, the annual New York State Society of Certified Public Accountants (NYSSCPA) Stock Brokerage Conference serves as a crucial platform for industry leaders to converge, share insights, and chart the course forward. Among the distinguished speakers at this year's event was Rafael Beck, Senior Managing Director at Integrated Solutions, whose expertise as a FINOP (Financial and Operations Principal) provided invaluable perspectives on regulatory compliance and best practices.

On May 21, 2024, Rafael Beck took the stage alongside other esteemed profe...

Rafael Beck, a Senior Managing Director of Integrated Solutions and member of the Stock Brokerage Committee of the New York State Society of CPAs (NYSSCPAs), will be speaking at an upcoming Auditor-FINOP panel hosted by the NYSSCPAs at their Broker-Dealer Conference to be held on May 4, 2022.

The panel discussions will include lessons from the most recent audit filing season. Topics to be covered are the 60 vs. 90 day filing deadline extension, staffing and scheduling challenges, accounting, reporting and regulatory changes, Footnote 74 and Exemption Reports, Pass Through Entity Tax treatment, inspections and other relevant issues. Additionally, the session will include a retrospective review...

Michael Stupay, Senior Managing Director of Integrated Solutions will be a keynote speaker at the New York State Society of CPAs’ “Stock Brokerage Committee CPE Session” which will be held on December 2, 2021. The afternoon Tech Session webinar will specifically address, “Broker-Dealer-Hot Topics and Practical Considerations.”

Mr. Stupay brings decades of experience to the forum. He has been a Senior Managing Director of Integrated Solutions since 1994, which services a myriad of regulated Broker-Dealers and Registered Investment Advisors. He is also involved in Integrated Investment Solutions LLC, the Fund Administration arm of Integrated Solutions. He has been ...

Michael Stupay, a Senior Managing Director of Integrated Solutions and a long-standing member of the Stock Brokerage Committee of the New York State Society of CPAs (NYSSCPAs), will be speaking at an upcoming Auditor-FINOP panel hosted by the NYSSCPAs at their Broker-Dealer Conference to be held on May 5, 2021.

The panel discussions will include lessons from the most recent audit filing season. Topics to be covered are the 60 vs. 90 day filing deadline extension, accounting, reporting and regulatory changes, CECL implementation and effect, Footnote 74 and Exemption Reports, PPP Loans impact on net capital, FINOP on-site visits guidance, inspections and other relevant issues. Additionally, the...

Mr. Stupay will be speaking on “Advanced Net Capital Issues” at the teleconference, where he will bring his expertise in Broker-Dealer related accounting and FINOP related issues to the forum. Mr. Stupay is currently a Senior Managing Director at Integrated Solutions and is registered as a Financial and Operations Principal with several Broker-Dealers. Additionally, he acts in a consultant capacity on Broker-Dealer compliance related issues, which allows him to offer advice and guidance from varying perspectives within the regulatory environment. He will be joined by an equally distinguished list of fellow panelists who will cover other issues including PCAOB Updates and Common A...

Michael Stupay, Senior Managing Director of Integrated Solutions is participating as a Roundtable Panelist at Citrin Cooperman’s upcoming “Virtual Roundtable” on November 12, 2020.

Bringing his extensive industry experience and insight to the panel, Mr. Stupay will participate in FINOP related discussions on a myriad of topics. He will offer his advice and guidance from an accounting and compliance perspective on subjects relevant to the impact of COVID-19 on the industry and the challenge it brings to a Broker-Dealer’s internal controls. Related topics such as SEC and FINRA guidance on membership agreements, as well as PPP loan forgiveness treatment will also be addre...