Broker Dealer Update: FINRA shares bank concern

Did you bank make the list? Here at MCCPA we are gathering information about the banking trouble touching a number of clients and affecting our industry. We will share our finding with you as it is released.  We feel that…

Read More


Broker Dealer Brief: Finra’s Top Exam Priorities

It may be time for Broker Dealers to shore up their compliance programs. Finra has released its annual Examination and Risk Monitoring Program report.  This gives Broker Dealers insight into activities and findings from recent activities of Finra’s Member Supervision…

Read More


Audit Brief: SEC Warns About Conflicts of Interest

Securities and Exchange Commission (SEC) Chair Gary Gensler spoke during a recent webcast to commemorate the 20-year anniversary of the Sarbanes-Oxley Act. Gensler recommended that the SEC take a “fresh look” at its rules on the issue of auditor conflicts…

Read More