Banking and Capital Markets

Financial services organizations face a challenging climate, with very little room for error to balance increased compliance demands and the need to sustain growth. With nearly a century of experience serving financial services organizations, we develop solutions to assist today’s challenging and complex economic environment. Our Banking and Capital Markets practice has strong relationships with most regulatory organizations, and we have nurtured close ties with other service providers within the industry, including administrators, attorneys and investment banking professionals. Our audit, tax and business consulting professionals are committed to adding value within our services for all of these organizations.

We serve the following sectors in our banking and capital markets practice:

  • Financial institutions—Banks and savings institutions, trust organizations, credit unions, mortgage companies, and finance and leasing companies
  • Insurance organizations
  • Specialty finance organizations
  • Broker dealers
  • Investment advisers
  • Futures commission merchants
  • Proprietary trading firms

Recommended Insights


FINRA and SIPC streamline broker-dealer reporting process

Broker dealers now need to only file their annual reports for SIPC and FINRA once using FINRA’s existing reporting portal.

  • August 08, 2017


Liquidity and funding risk

A summary of regulatory guidance from FINRA and the SEC and the importance of continually focusing on liquidity risk management procedures.

  • John Hague
  • |
  • April 19, 2017


Simplified electronic filing process for broker-dealer annual reports

The SEC’s Electronic Data Gathering, Analysis and Retrieval (EDGAR) system has been updated to simplify the electronic filing process.

  • January 31, 2017


Treatment of operating leases under Rule 15c3-1

Leases will require a lessee to recognize on its balance sheet assets and liabilities for all leases other than short-term leases.

  • November 14, 2016


Promptly transmitting customer funds

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

  • September 06, 2016


FINRA's new Capital Acquisition Broker rules

The SEC recently approved a new set of FINRA rules under which capital acquisition brokers can elect to be governed.

  • September 06, 2016


New rules relating to supplemental report of SIPC membership

The Securities Investor Protection Corporation recently adopted and the SEC has approved the SIPC Series 600 Rules relating to the supplemental report of SIPC membership.

  • June 14, 2016


Usage of OTC FX options as foreign currency contracts under section 1256

Wright v. Commissioner contradicts Tax Court rulings and IRS’ formal position on treatment of OTC FX options as section 1256 foreign currency contracts.

  • Jason Lunte
  • |
  • February 24, 2016


Investment Industry Insights
The quarterly newsletter follows developments in accounting and finance and places them in the context of current events and changes in economic and marketplace trends.

Financial Institution Insights
delivers news and information critical to community banking professionals. The bi-monthly newsletter tackles issues ranging from IT security to regulatory compliance to operational improvement.

Compliance News
Compliance news for the banking and investment industry. Gain insights about the latest compliance news and how it will affect your business.

How can we help you??

To discuss how our team can help your business, contact us by phone 800.274.3978 or

Events / Webcasts


Paul Nockels
Brokerage and Trading Practice Leader