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ACI’s Jay Gettenberg, Elizabeth Attanasio, to Attend FINRA Annual Conference in Washington, DC

ACI CEO, Jay Gettenberg, and Managing Director, Elizabeth Attanasio, will attend FINRA’s annual conference in Washington, D.C. next week to reconnect with regulators in person and gain new insights on the latest rules and trends affecting broker-dealers and the industry.

ACI is returning to the conference after the pandemic caused a two-year hiatus on live events.  ACI has been a regular presence at FINRA’s annual gatherings before the pandemic, with Gettenberg attending the event annually for the past decade. Attanasio has also been a regular attendee at the annual conference.

“ACI is very excited to return to live industry events and reconnect with our clients, colleagues and strategic partners,” Gettenberg said.  He sees these events as a way for ACI to remain up to date on issues that may affect ACI’s existing 150+ clients and continue to expand on knowledge that enables ACI to be a leading provider of outsourced FinOp registration services in the United States.

SFAC Member

Gettenberg, as a member of the FINRA Small Firm Advisory Committee (SFAC), also believes the conference is an opportunity to gain feedback and information that will help the committee better serve the industry.

FINRA’s annual conference runs from May 16 – 18 and offers a variety of sessions related to issues and trends affecting the industry, including technology, cybersecurity, risk management, and social media. Gary Gensler, chair of the U.S. Securities and Exchange Commission, is a scheduled speaker, alongside FINRA CEO, Robert Cook.  For more information on the conference, click here.

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

ACI’s Gettenberg, Attanasio to Participate in FAE Broker/Dealer Conference Webcast

ACI Managing Partner, Jay Gettenberg, and Managing Director, Elizabeth Attanasio, will join a Foundation for Accounting Education teleconference of accounting professionals on May 4. They will discuss regulatory issues and considerations the securities industry faces in a post-COVID economy.

Attanasio will moderate a 50-minute panel focused on key litigation affecting broker-dealers and the strategies employed to resolve them. The discussion is expected to include audit implications of recent legal cases involving broker-dealers. The panel is scheduled to begin at 1:10 p.m.

Gettenberg will be part of a 90-minute panel of FinOps and auditors who will share their experiences from audits on PCAOB standards and other issues related to accounting and auditing of broker-dealers. The panel is scheduled to begin at 2:00 p.m.

The panels will be part of the foundation’s daylong Broker/Dealer Conference Webcast, running from 8:15 a.m. to 5:35 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 may receive as many as 5 Specialized Knowledge/Industries (NYSED) credits, 1 Accounting (NYSED) credit, and 1 Auditing (NYSED) credit. For more details and to register, click here: https://bit.ly/3xQ69Xh.

Gettenberg, a member of the FINRA Small Firm Advisory Committee (SFAC), has participated in numerous previous FAE panels, including ones focused on the impact of the pandemic on industry practices. Gettenberg and Attanasio are both members of the Stock Brokerage Committee of the New York State Society of CPAs, which established the foundation in 1972.

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

ACI’s Calendar of Upcoming Events

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 auditors face and the impact this has on the FINRA member firms, from both a cost and time perspective. We would welcome your feedback on any topics you would like us to raise on your behalf.

In May of 2019, Jay Gettenberg will be a speaker at the NYSSCPA’s Annual Broker Dealer Conference at Baruch College, where hot topics related to financial operations and auditing of small broker dealers will be discussed in a full day session. There will be a variety of presenters, including attorneys, FinOps, compliance professionals and regulators, to discuss current regulatory and collectively work to both educate and improve the industry as a collective.
> Link to register: https://cpe.nysscpa.org/product/29959


From May 15 to May 17 2019, both Jay Gettenberg and Elizabeth Attanasio will be attending the FINRA annual conference in Washington D.C. ACI attends this event every year to remain current on regulatory matters and to help all existing and future clients comply with relevant rules and regulations and implement best practices.
> Link to register: http://www.finra.org/industry/2019-finra-annual-conference


We hope you will have the opportunity to join us at these events.

As always, we pride ourselves on being actively involved for each of you and intend to represent and defend the small broker dealer community to the best of our ability.