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Brokerage and Trading

Broker-dealers face increased scrutiny and ever-changing rules and regulations. To help address the complex issues facing these highly regulated businesses, we bring together our industry professionals and extensive experience to provide advice and guidance to broker-dealers across the nation. We provide audit, tax and consulting services to clearing firms, proprietary trading firms, investment banking firms, and introducing firms.

Recommended Insights

ARTICLE

Accounting update: A new home for operating leases

The Financial Accounting Standards Board (FASB) will begin requiring operating leases to be recorded on the balance sheet in 2019.

  • November 20, 2017

FINANCIAL REPORTING 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

INSIGHT ARTICLE

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

ARTICLE

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

ARTICLE

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

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.

  • September 06, 2016

FINANCIAL REPORTING INSIGHTS

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

FINANCIAL REPORTING INSIGHTS

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

Newsletters

Investment Industry Insights
This bi-monthly newsletter focuses on accounting, tax and regulatory news for the asset management industry.


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.


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Contact

Paul Nockels
Brokerage and Trading Practice Leader

312.634.4623