SEC strengthens broker-dealer audit requirements
That’s how we approach everything we do for broker/dealers. We make sure your operations and financial statements always comply with regulatory requirements. Our audit and advisory services provide you with a transparent reporting platform, which your clients expect and regulatory agencies require. ...
A new FOCUS reporting requirement designed to enhance FINRA's ongoing monitoring of members' financial condition will take effect for the new year. Beginning January 2015, broker-dealers will be required to include with their FOCUS filings a Supplemental Inventory Schedule ("SIS") that provides more...
We also assist with FINRA and SEC reporting and disclosure requirements concerning these matters. Internal Investigations and Governance –We work with regulated financial intermediaries on their internal investigations and governance-related issues, with a particular focus on conduct that requires a closer...
The Brokerage Consulting Group provides consulting and services to the broker/dealer industry. Brokerage Consulting Group provides broker/dealer start-up services, FINRA registration, FINOP services, web site development, and a variety of other services
Deadline Looms as Questions Abound on New Broker–Dealer Recordkeeping RequirementsDeadline Looms as Questions Abound on New Broker–Dealer Recordkeeping Requirementssummary might evidence a contractual employ- ment relationship, as opposed to the employ-ment-at-will relationship that most employers in...
The rule revisions align with the SEC’s previously announced efforts to adapt long-standing requirements to modern marketplace conditions. Read on »SEC granted injunction against pre-IPO stock fraud scheme Posted Date: Friday, June 30, 2023 The U.S. Securities and Exchange Commission obtained...
The proposed amendments provide an exemption from FINRA registration for a broker-dealer that effects securities transactions elsewhere than on an exchange of which it is a member as a consequence of routing by its exchange to comply with the requirements of Rule 611 of Regulation NMS ("Rule 611...
SFI Markets B.V. is an International broker-dealer based in Amsterdam since 2013. Primary, Secondary & Money Markets.
SFI Markets B.V. is an International broker-dealer based in Amsterdam since 2013. Primary, Secondary & Money Markets.