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Blog

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

benefit plan audits (18) broker dealer audits (6) compilation and review engagements (3) construction accounting (6) franchise accounting (7) nonprofit audits (11) pcaob audits (24) private company audits (18) remote auditor (1) single audits (10) surprise audits (6)

“Assurance Dimensions” 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, and its subsidiary entities are not licensed CPA firms.

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