SEC Rule 15c3-1 Compliance Specialist

services

FINOP OUTSOURCE

We tailor our services to fit the specific needs of the each unique broker-dealer, depending upon the capabilities of its existing accounting and compliance functions.

• Assist your firm’s “New Member Application” or “Continuing Member Application” process and provide all the FINOP related information for both the original submission and any subsequent questions or requests for information for a fixed fee.
  
• Compute and monitor your firm’s net capital in accordance with SEC Rule 15c3-1
  
• Prepare and submit electronically your firm’s eFOCUS reports on a monthly, quarterly, or annual basis, as required. eFOCUS reports will include Part IIA quarterly (and monthly if required), Custody quarterly, Supplemental Statement of Income quarterly and Schedule I annually.
• Assist and consult regarding Generally Accepted Accounting Principles (GAAP) reporting, financial compliance issues and other financial and accounting issues.
• Assist and serve as liaison with the firm’s annual audit by its Independent Certified Public Accountants and any other audits by either FINRA, the State Securities Commission or the Securities and Exchange Commission (SEC).