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’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.

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

October 23, 2020

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 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.

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/

ACI’s Calendar of Upcoming Events

March 25, 2019/in Informational, News, Regulatory Updates /by Jay Gettenberg

In April of 2019, Elizabeth Attanasio will join a team of committee members of the NYSSCPA’s Stock Brokerage Committee in meeting with the PCAOB, FINRA and the SEC to discuss hot topics resulting from the 2018 audit year end. The purpose of this meeting will be to educate the PCAOB on challenges the FinOps and […]