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:
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