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Broker-Dealer Audits

In 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act stipulated that broker dealers registered with the SEC must submit financial statements certified by a Public Company Accounting Oversight Board (PCAOB)-registered accounting firm.

The SEC’s Rule 613 proposed that self-regulatory organizations submit a National Market System (NMS) plan detailing how they will create, implement, and maintain a consolidated audit trail. These requirements are on top of your annual and quarterly Financial Industry Regulatory Authority (FINRA) filings.

GBH can assist you with planning, executing, and submitting your required documentation.