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.
https://www.acisecure.com/wp-content/uploads/2014/10/notice-to-members.jpg
300
300
Jay Gettenberg
/wp-content/uploads/2016/11/aci.finop-logo3-300x123.jpg
Jay Gettenberg2014-10-01 08:00:322020-02-01 17:55:09FINRA Notice 14-45
ACI’s Calendar of Upcoming Events
/in Informational, News, Regulatory Updates/by Jay GettenbergIn 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 […]
ACI Participates in Effort to Overturn PCAOB Inspection over Non-Custodial Broker Dealer Audits
/in Informational, News/by Shannon SandersonACI’s Managing Partner, Jay Gettenberg, was in Washington D.C. this week for the 2018 FINRA Annual Conference. His recent involvement in the FINRA District 10 Committee, which commenced on January 1, 2018, offered Mr. Gettenberg the opportunity to assist Paige Pierce, chair of the FINRA Small Firm Advisory Board, and Robert Hackel, Chief Operating Officer […]
FINRA, Broker Dealers & Advisory Accounts
/in FAQ, Informational, News, Regulatory Updates/by Shannon Sandersonhttp://www.investmentnews.com/article/20180108/FREE/180109944/finra-warns-brokers-about-moving-clients-from-broker-to-advisory?X-IgnoreUserAgent=1
FINRA Enforcement in 2018 by Joanna Belbey at FORBES
/in FAQ, Informational, News, Regulatory Updates/by Shannon Sandersonhttps://www.forbes.com/sites/joannabelbey/2017/12/30/how-financial-services-firms-should-expect-vigorous-enforcement-from-finra-in-2018/?utm_content=buffera6d0c&utm_medium=social&utm_source=linkedin&utm_campaign=buffer#1e250defd003