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.
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Jay Gettenberg
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Jay Gettenberg2019-08-07 09:11:382019-08-07 09:13:4491 Percent of FINRA Member Firms Have 0 Percent Role on its Powerful Nominating Committee
FINRA, Broker Dealers & Advisory Accounts
/in FAQ, Informational, News, Regulatory Updates /by Shannon Sandersonhttp://www.investmentnews.com/article/20180108/FREE/180109944/finra-warns-brokers-about-moving-clients-from-broker-to-advisory?X-IgnoreUserAgent=1
FINRA Enforcement in 2018 by Joanna Belbey at FORBES
/in FAQ, Informational, News, Regulatory Updates /by Shannon Sandersonhttps://www.forbes.com/sites/joannabelbey/2017/12/30/how-financial-services-firms-should-expect-vigorous-enforcement-from-finra-in-2018/?utm_content=buffera6d0c&utm_medium=social&utm_source=linkedin&utm_campaign=buffer#1e250defd003
FINRA’s 2018 Regulatory & Examination Priorities Letter
/in FAQ, Informational, News, Regulatory Updates /by Shannon Sandersonhttp://www.finra.org/industry/2018-regulatory-and-examination-priorities-letter
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
/in Informational, News /by Shannon SandersonJay Gettenberg of ACI is now a District 10 Small Firm Representative.