ACI’s Jay Gettenberg Is a Panelist for Upcoming Foundation for Accounting Education Discussion of Post-COVID Regulatory Issues

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ACI Managing Partner, Jay Gettenberg, will join a teleconference of accounting professionals on May 5. They will discuss regulatory issues and considerations the securities industry faces in a post-COVID economy.

The 70-minute panel, sponsored by the Foundation for Accounting Education, will be geared toward providing broker dealer FINOPS and auditors with the latest information available. FinOps and auditors will share their experiences from auditing in the COVID environment and discus various regulatory topics including the latest news from the SEC, FINRA and the PCAOB. The panel is scheduled to begin at 2:05 p.m.

The panel will be part of the foundation’s daylong Broker/Dealer Conference Webcast, running from 8:30 a.m. to 5 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 can receive 6 Specialized Knowledge/Industries (NYSED) credits, 1 Accounting (NYSED) credit, and 1 Auditing (NYSED) credits. For more details and to register, click here: https://bit.ly/3deHalF.  


Gettenberg, a member of the FINRA Small Firm Advisory Committee (SFAC), has participated in previous FAE panels, including a Broker/Dealer Tech session in December and one focusing on navigating through COVID times in July.

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

ACI’s Jay Gettenberg to Appear on Dec 8 FAE Broker Dealer Tech Session Teleconference

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ACI Managing Partner, Jay Gettenberg, will join a teleconference of accounting professionals on December 8th to discuss regulatory issues and considerations the industry faces as the country heads into 2021.

The 90-minute panel, sponsored by the Foundation for Accounting Education, will be geared toward providing broker dealer FINOPS and auditors with the latest information available. Topics may include the impact of the pandemic on industry practices as well as the latest news from the SEC, FINRA and the PCAOB.

The panel will be part of the foundation’s afternoon teleconference, which runs from 1 p.m. to 4:30 p.m. on December 8th. The session is aimed at industry professionals at the Intermediate/Advanced Level. Attendees can receive 1.5 Auditing (NYSED) credits, 1 Specialized Knowledge/Industries (NYSED) credit and 0.5 Auditing (NYSED) credits. For more details and to register, click here: https://cpe.nysscpa.org/product/32215


Gettenberg, a member of the FINRA Small Firm Advisory Committee (SFAC), has participated in previous FAE panels, including one in July on “Accounting and Auditing in COVID Times.”

ACI will continue to provide updates on our Resources page as we manage together through this challenging time. We hope everyone is taking proactive and precautionary measures to remain safe.  

ACI’s Managing Partner, Jay Gettenberg, Will Be a Citrin Cooperman FINOP Roundtable Panelist

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ACI Managing Partner, Jay Gettenberg, will participate in a November 12 virtual roundtable discussion on important issues FINOPs may face in the upcoming audit season.

The roundtable, sponsored by Citrin Cooperman, will bring together six industry veterans to provide insights and advice on a variety of topics, including the impact of the COVID pandemic on internal control changes, fixed asset and other impairments, and related issues.

Gettenberg, a member of FINRA’s Small Firm Advisory Committee (SFAC), will focus his remarks on amending membership agreements for the new guidance issued by the SEC and FINRA, PPP loan forgiveness treatment ASC 470 vs. IAS-20, and going concern evaluations under COVID-19.

The panelists will also discuss other topics such as:

  • Internal control changes resulting from COVID-19 and work from home
  • CECIL
  • Fixed asset, goodwill, and intangible impairments as a result of COVID-19
  • Subsequent event considerations
  • Lease concessions and ASC 842

Citrin Cooperman partner John Cavallone, CPA, will moderate the discussion.

The roundtable will be 4:30 p.m. to 6 p.m. Eastern Time on November 12. Registration is free and 1.5 CPE credits will be offered.

For more information or to register click here.

ACI will continue to provide updates on our Resources page as we manage together through this challenging time. We hope everyone is taking proactive and precautionary measures to remain safe.

ACI’s Jay Gettenberg to Appear on July 30, 2020 “Accounting and Auditing in COVID Times” Teleconference

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ACI Managing Partner, Jay Gettenberg, will participate in a broker-dealer tech session teleconference on July 30, 2020 to discuss the regulatory accounting and auditing issues that arose from the coronavirus pandemic.

The six-person “Accounting and Auditing in COVID Times” panel, sponsored by the Foundation for Accounting Education, will examine how the pandemic affected industry practices, including financial statement reporting and auditing disclosures, goodwill impairment, PPP and loan forgiveness, regulatory communications, FINRA oversight, and more. The discussion is designed to provide both FinOps and auditors with recent updates that will assist broker-dealers with the preparation and audit of their books and records, specifically related to COVID and SBA loans.

ACI will will share practical lessons learned while helping over 50 broker-dealer clients navigate the SBA-backed Paycheck Protection Program (PPP), including how to ensure a borrower meets the loan forgiveness requirements. ACI has worked over the recent months to both secure PPP loans and to maximize the benefits of PPP loan forgiveness for dozens of FINRA member firms. ACI’s clients are on track to formally complete all SBA loan forgiveness forms over the coming months, enabling them to be free and clear of the PPP process.

Other topics the panel may address include tax implications for single-member LLCs, effective dates of new standards and their impact on broker-dealers and the latest news from the SEC, FINRA and the PCAOB.

The two-hour teleconference will start at 10 a.m. EST on July 30. Attendees can receive one Auditing (NYSED) and one Accounting (NYSED) CPE credit. For more details and to register, click here: https://cpe.nysscpa.org/product/31905