To help your securities firm maintain compliance, Regulatory Compliance provides accounting and regulatory reporting services and financial and operations principal (FINOP) outsourcing services.
Comprehensive Accounting and Regulatory Reporting Services
Utilize our full line of accounting and regulatory reporting services.
Experienced Financial and Operations Principals (FINOP)
Regulatory Compliance employs Series 27/28 registered professionals with years of financial experience FINOP services include:
- Registering financial and operations principal (FINOP) with your broker-dealer(Form U4, fingerprints, FINRA Rule 3030 requirements)
- Preparation and electronic filing of monthly and quarterly FOCUS II or IIA
- Up-to-the-minute net capital computation and trend analysis
- Balance sheet
- Cash receipts and disbursements journal
- General ledger
- Income statement
- Journal entries
- Trial balance
- SIPC annual reporting assistance
- Interim FINOP services while we train you to become your firm’s FINOP
- Monthly accounting work is reviewed by licensed CPAs
To learn more about any of our compliance services, contact us or call (603) 434-3594.