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:

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

Looking for personalized service to go with expertise and compliance? Let’s talk.