Broker/Dealers
Raich Ende Malter & Co., LLP is a PCAOB-registered firm serving 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 FINRA, and CFTC, and NFA rules and compliance.
For further information please contact:
|
