FINOP, Accounting and Bookkeeping Services

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Be in Compliance with Your Broker-Dealer Accounting Requirements

Experienced Financial and Operations Principals (FINOP)

A broker-dealer is required to comply with accounting and financial reporting rules of the SEC, FINRA and other regulatory agencies with whom it is registered, as well as have a qualified Financial and Operations Principal (FINOP) registered with the firm. Hiring a full-time FINOP can be a costly way to satisfy this requirement. Regulatory Compliance provides experienced outsourced FINOPs and professional accounting services to keep you in compliance.

Our licensed Series 27 and Series 28 professionals have many years of financial experience and knowledge in working with FINRA and the SEC by providing financial reporting in accordance with regulatory rules and requirements and financial analysis to meet specific FINRA requests. FINOP services include:

  • registration of our Financial and Operations Principal (FINOP) with broker-dealer (Form U4, fingerprints, compliance with FINRA Rule 3270 requirements)
  • financial statement preparation, review and analysis to comply with outsourced FINOP regulations
  • preparation and electronic filing of FOCUS II or IIA reports
  • monthly net capital computations and trend analysis
  • SIPC annual and semi-annual reporting calculations and completion of applicable forms
  • completion and filing of the Supplemental Statement of Income (“SSOI”) as required under FINRA Rule 4524
  • monthly bookkeeping and/or accounting work by experienced accounting staff and reviewed by licensed CPAs
  • onsite visit by the FINOP at least annually
  • monthly communications to gather information on changes to the firm, its business or its operations
  • financial analysis and responses to outside auditor, SEC and/or FINRA inquiries
  • preparation of year-end full disclosure financial statements to comply with outside auditor independence rule required by the SEC,FINRA and the PCAOB

Comprehensive Accounting and Regulatory Reporting Services

  • If your firm has already designated a FINOP on the Form BD, we can provide consulting and support from industry-experienced FINOPs and CPAs. Our series 27 and Series 28 licensed professionals have years of experience in working with FINRA and the SEC to ensure required information and regulatory reporting is accurate and complies with applicable rules.
  • Our qualified non-registered accountants can also assist with accounting services, reporting and consulting.

From full-service FINOP and accounting to consulting, Regulatory Compliance offers services designed to meet each broker-dealer’s needs in complying with SEC and FINRA requirements.

To learn more about any of our compliance services, contact us or call 1-888-Reg-Comp (1-888-734-2667).