Tag Archive for: FinOPs

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 Moves to New NYC Office Oct. 4; Offers Employees Hybrid Work Schedule

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ACI, the premier provider of FinOp licensing and regulatory consulting services, will officially be opening its brand-new, state-of-the art, Manhattan headquarters at 77 Water Street on Oct. 4, 2021.  The office opening and return to a “post-COVID” environment will be commemorated on the evening of Oct. 1, with a champagne toast and an office outing for all current ACI staff. 

Designed in collaboration with Sage Realty, the new office was built to account for social distancing, allowing staff to return to work in accordance with CDC social distancing guidelines.ACI’s staff will return on a hybrid work model, rotating into the office on a three day per week flex-schedule.

“Our goal is for everyone at ACI to be able to work safely in the office.  We will continue to do what is best for our employees’ individual well-being,” ACI Managing Partner, Jay Gettenberg, said.

Open floor plan fosters an informal environment

The 5,500-square-foot office has a modern, open floor plan that accommodates 42 workstations, including private offices, a corporate lounge, and a fully customized kitchen and pantry.  The conference space has couches and soft surfaces, creating an informal, relaxed setting to collaborate internally and to meet with current and prospective clients.

“We want clients and staff to feel as though they are members of the ACI family,” noted Gettenberg.

Designed for growth

ACI has experienced unprecedented growth over the past few years, as a result of participation in regulatory committees, participation in industry focused speaking engagements, strategic vendor relationships and a strong culture of compliance that lies at the firm’s foundation. ACI’s new 10-year lease reflects the firm’s continued commitment to the securities industry and its independent broker-dealer clients.

The 16th floor office, in the NYC’s financial district, is just a few blocks east of ACI’s previous location. “The larger space supports our expectations of continued growth and the evolution of ACI as a leading provider of FinOp services across the broker-dealer community,” Gettenberg said.

He added, “From the very beginning, we focused on creating a superior work environment for ACI staff, that reflects our core belief that clients receive the highest-quality of service from employees who are treated well. The space balances productivity and comfort, and promotes team cohesiveness. The office will enable us to attract and retain the most qualified and experienced professionals within our industry.”  

ACI already expanded its team during the pandemic, adding four new employees since March 2020.  There is an expectation of making multiple additional hires over the coming weeks, to ensure the highest-quality service is maintained as the organization continues to grow.

The relocation to the new office will not interrupt ACI’s operations since all employees have been working remotely from home during the pandemic.  Reintegration to an in-office environment will commence once the corporate headquarters are fully operational.


ACI will continue to provide updates on our Resources page as more information becomes available.

ACI’s Jay Gettenberg Is a Panelist for Upcoming Foundation for Accounting Education Discussion of Post-COVID Regulatory Issues

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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.

The 70-minute panel, sponsored by the Foundation for Accounting Education, will be geared toward providing broker dealer FINOPS and auditors with the latest information available. FinOps and auditors will share their experiences from auditing in the COVID environment and discus various regulatory topics including the latest news from the SEC, FINRA and the PCAOB. The panel is scheduled to begin at 2:05 p.m.

The panel will be part of the foundation’s daylong Broker/Dealer Conference Webcast, running from 8:30 a.m. to 5 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 can receive 6 Specialized Knowledge/Industries (NYSED) credits, 1 Accounting (NYSED) credit, and 1 Auditing (NYSED) credits. For more details and to register, click here: https://bit.ly/3deHalF.  


Gettenberg, a member of the FINRA Small Firm Advisory Committee (SFAC), has participated in previous FAE panels, including a Broker/Dealer Tech session in December and one focusing on navigating through COVID times in July.

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