The strict, multi-faceted and frequently changing regulations imposed by both the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) make accounting for broker/dealers highly specialized. Therefore, your selection of an audit firm is of the utmost importance.
You can feel confident that Samet will commit a team of well trained and experienced staff and provide appropriate partner oversight to the audit process.
Samet meets the SEC requirement of being registered with the Public Company Accounting Oversight Board (PCAOB).
We work with broker/dealers to provide services as allowed by PCAOB regulations. This may mean that your organization will need to work with two CPA firms – one do to the audit and another to provide non-attest services such as financial statements, quarterly reports and in some cases tax work, or internal controls.
Our services include:
- Internal controls
- Financial statements
- Quarterly reports
- State and federal tax returns