Financial Accounting Resources & News

Our expert team keeps up on the latest filings from the SEC, FINRA, and the IRS to ensure our clients can efficiently minimize costs and risks while simultaneously maximizing reporting accuracy.

ACI to Relocate to New Corporate Headquarters to Service Growing Broker Dealer Client Base

April 27, 2021

ACI formalizes move to a new, expansive office this summer to better serve its growing broker dealer client base

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

April 14, 2021

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.

SEC Grants Additional 30 Days for Certain Broker-Dealers to File Annual Reports

February 16, 2021

Certain broker-dealers received much-needed relief this month when the Securities and Exchange Commission agreed to extend the annual audit filing deadline by 30 calendar days, cementing 90 days as the new regulatory obligation.

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

November 23, 2020

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.

Paycheck Protection Program Reopens; ACI Clients Receive Loan Approvals

May 4, 2020/in News/by Shannon Sanderson

The SBA-backed Paycheck Protection Program (PPP) reopened on April 27, 2020 with $320 billion in additional funding.

More than 75% of ACI’s clients who have applied under PPP have obtained official SBA loan numbers this past week.

Paycheck Protection Program: What Small Broker-Dealers Need to Know Now

April 6, 2020/in Regulatory Updates/by Shannon Sanderson

The window is now open for businesses to apply for SBA-backed Paycheck Protection Program loans under the $2.2 trillion CARES Act.

ACI is sharing relevant sections of FINRA’s guidance regarding the net capital treatment of covered loans.

Regulatory Extensions Announced for COVID-19

March 24, 2020/in Informational, News, Regulatory Updates/by Shannon Sanderson

Effective March 20, 2020, FINRA released FAQs related to the COVID-19 pandemic and the impact the virus will have on small FINRA member firms meeting various FOCUS Report and annual audit requirements over the coming months.

91 Percent of FINRA Member Firms Have 0 Percent Role on its Powerful Nominating Committee

August 7, 2019/in Informational, News/by Jay Gettenberg

http://www.brokeandbroker.com/4725/FINRA-Nominating-Committee/