Broker Dealer

Our broker-dealer practice group provides our clients with the resources and industry knowledge necessary to help meet regulatory reporting and compliance requirements as well as providing audit and tax services. The broker-dealer operates within an industry that has oversight for financial and information reporting requirements by several regulatory agencies, including the SEC (Securities and Exchange Commission), FINRA (Financial Industry Regulatory Authority) and the CFTC (Commodity Futures Trading Commission).

Hertz Herson is a PCAOB (Public Accounting Oversight Board) registered firm, enabling us to perform audits of broker-dealers in accordance with the appropriate professional standards.

As the industry continues its trend toward regulatory oversight and compliance requirements, we as a PCAOB registered accounting firm are uniquely positioned to service your broker-dealer reporting needs.