Broker/Dealers
Our financial services group can provide:
- Audit of financial statements
- Initial capitalization and organizational structure consulting
- Net capital, customer reserve computations and internal accounting controls support
- Regulatory agency memberships consulting
- Regulatory examination consulting
- Review and preparation of regulatory reports
- Consultation regarding SEC and NASD, and CFTC and NFA rules and compliance.
For further information please contact:
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Real Estate