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Ideas & Insights


Financial Reporting Insights

Promptly transmitting customer funds

A recent SEC staff no-action letter addresses prompt transmission of customer’s funds to the carrying broker-dealer.

Investment Industry Insights

Tax benefits of managed futures

Investing in managed futures carries significant tax benefits. Learn more about a lesser-known provision buried in Internal Revenue Code section 1256.

RSM Services

Asset Management

We bring together our industry professionals and extensive experience to provide advice and guidance to broker-dealers across the nation.

RSM Services

Brokerage and Trading

...Brokerage and Trading Broker-dealers face increased scrutiny and ever-changing rules and regulations. To help address the complex issues facing...