Broker-Dealers and Futures Commission Merchants

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.

Significant Developments Affecting Broker-Dealers and Their Auditors
The PCAOB conducted an open meeting on June 14, 2011 to consider the adoption of certain rules as implementation begins of its expanded oversight responsibilities for audits of broker-dealers under the Dodd-Frank Wall Street Reform and Consumer Protection Act.