FINRA Small Firms Information - A Resource for Firms With 150 or Fewer Reps

Part of Our Intention is to support SEC and FINRA Registered Firms with your needs for Accounting, Operations Consulting, and Compliance, either directly (where sponsored) or through partnerships. A key part of that Begins with our ability to connect with key knowledge of Federal, State and Local Regulatory and SRO Resources. In the same way Accounting is portable skill set, so is the art of Compliance once you have it in context of the Regulatory Framework for Compliance. Accounting, Taxes, Operations and Compliance represent broad areas of practice, but the real key is working smart with resources to find your authoritative framework and then to design and implement Operations, Control and Oversight procedures that meet the targeted objective of Compliance wether you are considering Tax Law, Employment Law,  ERISA / Pension Laws or other matters. The importance is to connect with the right resources to support the area you need for services.

In the realm of Entities including FINRA SROs for Small Firms with less than 150 Registered Representatives a good starting resource can be:

Small Firms Information at FINRA

Note: Series Licenses apply to certain elements of working with Broker-Dealers and FINRA member firms, in the same way that PCAOB registration would be required for Broker-Dealer Audits. Our Intention is to work in the positions where we are able to do so with member firms on the advisory / consulting end where currently acceptable and registrations are not required and we are also open to work with you where registration is required if you provide sponsorship. Where registrations are not currently required (please confirm with your coordinator and we will also clear with FINRA and the SEC) and over time to pursue PCAOB Registration if approached for Broker-Dealer Audits.

In every occurence our prior Experience on FINOP reporting, with Operations, Operational Audits, Controls, SEC Audits and FINRA Audits from the Controlling End will add value to Our Clients as will also our Proven Accounting, Financial and Management Reporting, Net Capital Reporting Analysis, Taxation,  Operations skills and ability to connet with SEC and FINRA rules at the source along with Financial Rules like AML, KYC and more.

 We support Clients through knowledge of Accounting, Finance, Taxes, Operations, Controls, Regulations, Financial Services expertise and smart skills with Research. Quickbooks and other Accounting Systems and  Business Analysis skills are a given. DCarsonCPA.com is here to support Financial Services and General Business, Non Profits and Individuals find us at www.dcarsoncpa.com and reach out to us at info@dcarsoncpa.com