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Blog

Broker dealers at a meeting discussing the top broker dealer audit firms and strategies for selecting the best firm.

How Top Broker-Dealer Audit Firms Avoid PCAOB Audit Pitfalls

by Assurance Dimensions

Employee reviewing paperwork and deadlines for their company's FINRA annual audit and reading details on filing extensions.

FINRA Annual Audit Extension: Why and When To File

by Assurance Dimensions

A broker dealer FINOP team analyzes the financial records of a broker dealer firm to ensure financial compliance.

Why Your Audit Needs a Strong Broker Dealer FinOp

by Assurance Dimensions

Broker-dealer analyzing data to ensure SEC 17a4 compliance and improve audit processes for regulatory success.

Can SEC 17a4 Compliance Improve Your Broker Dealer Audit?

by Assurance Dimensions

Compliance officer ensuring adherence to FINRA audit requirements and regulatory standards for broker dealers.

The Basics of FINRA Audit Requirements for Broker-Dealers

by Assurance Dimensions

A man sitting in an office reviewing fina audit documents on his desk and laptop

Staying One Step Ahead: Preparing for a FINRA Audit

by Assurance Dimensions

Two accountants reading FINRA compliance rules on laptops at a table

The Basics of FINRA Compliance for Broker Dealers

Navigating the complexities of financial regulations can be challenging for…

by Assurance Dimensions

Understanding SEC Rule 17a4 Requirements for Broker-Dealers

On October 2022, the U.S. Securities and Exchange Commission (SEC) amended SEC…

by Assurance Dimensions

Group of broker dealers in an office preparing for their broker dealer audit

Broker Dealer Audit: Essential Roles and Entities

by Assurance Dimensions

Young broker businesswoman discussing with two other businessmen how to maintain broker dealer compliance

Broker Dealer Compliance: How to Claim the Right Exemption

by Assurance Dimensions

Team of broker dealer auditors reviewing documents

6 Compliance Questions To Ask Broker Dealer Auditors

by Assurance Dimensions

Categories

accounting and outsourcing services (1) audit readiness (1) benefit plan audits (22) broker dealer audits (11) compilation and review engagements (5) construction accounting (10) franchise accounting (8) IT Advisory and Consulting (1) nonprofit audits (11) private company audit (1) private company audits (23) remote auditor (5) single audits (10) SOX 404 Compliance (24) surprise audits (7)

“Assurance Dimensions” an independent member of the Crete Professionals Alliance, is the brand name under which Assurance Dimensions, LLC including its subsidiary McNamara and Associates, LLC (referred together as “AD LLC”) and AD Advisors, LLC (“AD Advisors”), provide professional services. AD LLC and AD Advisors practice as an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable laws, regulations, and professional standards. AD LLC is a licensed independent CPA firm that provides attest services to its clients, and AD Advisors provide tax and business consulting services to their clients. AD Advisors, its subsidiary entities, and Crete Professionals Alliance are not licensed CPA firms. The entities falling under the Assurance Dimensions brand are independently owned and are not liable for the services provided by any other entity providing the services under the Assurance Dimensions brand. Our use of the terms “our firm” and “we” and “us” and terms of similar import, denote the alternative practice structure conducted by AD LLC and AD Advisors.

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