RH CPAs, PLLC

BROKER-DEALERS

Broker-Dealers

Broker-Dealers are some of the most closely regulated entities in the world today, maintaining compliance with the Financial Industry Regulatory Authority (FINRA), the U.S. Securities and Exchange Commission (SEC), and other regulators is a complex undertaking. At RH CPAs, PLLC, our partners and staff take this complex environment and make it simple.

Recent scandals have brought significant changes to the regulatory environment for non-public broker-dealers. As a result the Securities and Exchange Commission has rescinded the previously provided “exclusion” for non-public broker-dealers to be exempt from the PCAOB audit requirements. Effective for 2009 annual audits for non-public broker-dealers must be conducted by an accounting firm registered and approved by the Public Company Accounting and Oversight Board (PCAOB). For more information please click here to access the U.S. Securities and Exchange Commission FAQs.

Recent Blog Articles

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    FIRM NEWS The American Rescue Plan March 17, 2021 Articles, Firm News RivesCPA The American Rescue Plan was signed into law by President Biden on...
  • Tax Deadline Extension

    IRS UPDATES & GUIDELINES Tax Deadline Extension March 17, 2021 Articles, FAQ, IRS Updates RivesCPA Yesterday the Internal Revenue Service extended the filing and payment deadline for...
  • World Captive Forum Conference 2021

    FIRM NEWS World Captive Forum Conference 2021 March 2, 2021 Articles, Firm News RivesCPA Although we wish we could gather in-person, our team is enjoying...

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