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.
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.
The $2.2 trillion CARES Act contains key provisions, which may directly assist small broker-dealer firms in weathering the COVID-19 pandemic crisis.
While the provisions of the CARES Act are still being reviewed, we want to share with you some points that may assist you with retaining your employees and keeping your operations running as smoothly as possible.
Jay Gettenberg Becomes A Member of the FINRA District 10 Committee
/in Informational, News/by Shannon SandersonFINRA is looking to help small Broker-Dealers Survive & Thrive
/in Informational, News/by Shannon SandersonPer Investment News, FINRA’s new CEO, Robert Cook, is looking for ways to support the small broker-dealers. http://www.investmentnews.com/article/20171012/FREE/171019969/finra-wants-to-help-the-small-broker-dealer-cook?X-IgnoreUserAgent=1
ACI’s Jay Gettenberg Nominated for FINRA District 10 Committee Membership
/in Informational, News/by Jay GettenbergACI Listed as a Member of FINRA’s Compliance Vendor Directory
/in News/by Jay GettenbergEffective this week, the Financial Industry Regulatory Authority will be going live with their new Compliance Vendor Directory (CVD), a comprehensive list of service providers in nine distinct categories, as follows: 1. Compliance Consulting 2. Cybersecurity 3. Data Management 4. Email & Social Media Archive 5. Exam Prep & Firm CE 6. Insurance Brokers 7. […]