ACI FinOps for broker dealers

ACI’s Gettenberg, Attanasio to Participate in FAE Broker/Dealer Conference Webcast

ACI Managing Partner, Jay Gettenberg, and Managing Director, Elizabeth Attanasio, will join a Foundation for Accounting Education teleconference of accounting professionals on May 4. They will discuss regulatory issues and considerations the securities industry faces in a post-COVID economy.

Attanasio will moderate a 50-minute panel focused on key litigation affecting broker-dealers and the strategies employed to resolve them. The discussion is expected to include audit implications of recent legal cases involving broker-dealers. The panel is scheduled to begin at 1:10 p.m.

Gettenberg will be part of a 90-minute panel of FinOps and auditors who will share their experiences from audits on PCAOB standards and other issues related to accounting and auditing of broker-dealers. The panel is scheduled to begin at 2:00 p.m.

The panels will be part of the foundation’s daylong Broker/Dealer Conference Webcast, running from 8:15 a.m. to 5:35 p.m. The conference is designed for CPAs who service the broker/dealer industry, financial principals in the securities industry, and representatives of regulatory agencies. Attendees may receive as many as 5 Specialized Knowledge/Industries (NYSED) credits, 1 Accounting (NYSED) credit, and 1 Auditing (NYSED) credit. For more details and to register, click here:

Gettenberg, a member of the FINRA Small Firm Advisory Committee (SFAC), has participated in numerous previous FAE panels, including ones focused on the impact of the pandemic on industry practices. Gettenberg and Attanasio are both members of the Stock Brokerage Committee of the New York State Society of CPAs, which established the foundation in 1972.

ACI will continue to provide updates on our Resources page on current news regarding regulations and the industry.