Every registered broker-dealer, including non-public broker-dealers, are required by the 2002 Sarbanes-Oxley Act to undergo an annual financial audit by a PCAOB (Public Company Accounting Oversight Board) certified accounting firm.
We have been registered with the PCAOB since nearly its inception, and we have been auditing broker-dealers for more than 20 years. Our auditors have extensive experience navigating through the very specific rules governing broker-dealers.
In addition to the PCAOB rules, we are also very knowledgeable with the rules provided by FINRA, the SEC, and the state governing boards.
For more information about our broker-dealer audits, or to set up a free consultation, please contact us.