Broker Dealers
We specialize in the highly scrutinized.
The full-size accounting team for broker-dealers without one in-house.
What increased government regulations mean for broker-dealers.
First and foremost, broker-dealers must comply with SEC and FINRA regulations. Next, your auditors must be registered with the Public Company Accounting Oversight Board (PCAOB).
When partnering with Raines & Fischer, you’ll get both, without question. Here are a few other ways we help you stay compliant:
- Maintaining a set amount of net capital in your business (depending on the functions you provide)
- Ensuring that proper controls are in place for any accounts you have under your umbrella
- Providing professional guidance to deal with FINRA regulators that may review your processes from time to time
The bonafides.
A long history of auditing broker-dealers
Registered with the PCAOB inspection process of auditors
Routinely serve as a trusted advisor to clients in dealing with FINRA regulators
