Broker-Dealers

The Securities and Exchange Commission (SEC) requires that auditors of both public and nonpublic broker-dealers be registered with the PCAOB.  As a PCAOB registered firm, KMJ is well-versed in the accounting and reporting issues facing the broker-dealer industry.  Our professionals have a solid understanding of the implications of accounting standards and regulations affecting this industry, and have the requisite knowledge of the complex and ever-changing requirements of the Financial Industry Regulatory Authority (FINRA) and the SEC.

KMJ’s tax department provides insight and guidance regarding complex tax issues unique to the broker-dealer industry.

Contact us via email for additional information.