FinOp Outsource

Our Services

A professional reviewing financial charts and reports on a computer screen.

Financial Reporting (FOCUS)

We provide meticulous and timely preparation of Financial and Operational Combined Uniform Single (FOCUS) reports. Our process ensures accuracy and adherence to all FINRA and SEC filing requirements, allowing your firm to maintain its good standing without the administrative burden.

  • Monthly and quarterly FOCUS filings
  • Annual audited financial statements support
  • SSOI (Supplemental Statement of Income) reporting
  • Compliance with GAAP for broker-dealers
A clean desk with a laptop displaying financial data charts and a tablet, representing data analysis and capital computation.

Net Capital Computations

Navigating the complexities of SEC Rule 15c3-1 is critical for broker-dealer solvency and compliance. We perform rigorous daily or weekly net capital computations, providing you with clear visibility into your financial position and early warnings of potential issues.

  • Net capital monitoring
  • Haircut analysis and optimization
  • Allowable vs. non-allowable asset classification
  • Strategic advisory to maintain excess net capital
An empty law library with rows of wooden shelves filled with legal volumes.

Regulatory Liaison & CFO Support

As your outsourced FINOP, we act as a direct and knowledgeable interface with regulatory bodies. We manage examinations, respond to inquiries, and provide the strategic financial oversight of an experienced Chief Financial Officer, tailored to the broker-dealer industry.

  • FINRA and SEC exam management
  • Response to regulatory inquiries
  • Business continuity plan (BCP) maintenance and testing
  • Strategic financial planning and budgeting