Tag Archive for: Broker Dealer

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

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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

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

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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.

The 90-minute panel, sponsored by the Foundation for Accounting Education, will be geared toward providing broker dealer FINOPS and auditors with the latest information available. Topics may include the impact of the pandemic on industry practices as well as the latest news from the SEC, FINRA and the PCAOB.

The panel will be part of the foundation’s afternoon teleconference, which runs from 1 p.m. to 4:30 p.m. on December 8th. The session is aimed at industry professionals at the Intermediate/Advanced Level. Attendees can receive 1.5 Auditing (NYSED) credits, 1 Specialized Knowledge/Industries (NYSED) credit and 0.5 Auditing (NYSED) credits. For more details and to register, click here: https://cpe.nysscpa.org/product/32215


Gettenberg, a member of the FINRA Small Firm Advisory Committee (SFAC), has participated in previous FAE panels, including one in July on “Accounting and Auditing in COVID Times.”

ACI will continue to provide updates on our Resources page as we manage together through this challenging time. We hope everyone is taking proactive and precautionary measures to remain safe.  

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

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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, sponsored by Citrin Cooperman, 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.

Gettenberg, a member of FINRA’s Small Firm Advisory Committee (SFAC), will focus his remarks on amending membership agreements for the new guidance issued by the SEC and FINRA, PPP loan forgiveness treatment ASC 470 vs. IAS-20, and going concern evaluations under COVID-19.

The panelists will also discuss other topics such as:

  • Internal control changes resulting from COVID-19 and work from home
  • CECIL
  • Fixed asset, goodwill, and intangible impairments as a result of COVID-19
  • Subsequent event considerations
  • Lease concessions and ASC 842

Citrin Cooperman partner John Cavallone, CPA, will moderate the discussion.

The roundtable will be 4:30 p.m. to 6 p.m. Eastern Time on November 12. Registration is free and 1.5 CPE credits will be offered.

For more information or to register click here.

ACI will continue to provide updates on our Resources page as we manage together through this challenging time. We hope everyone is taking proactive and precautionary measures to remain safe.