As of June 9, 2023 FINRA will end the current interim accommodation process for the Series 3, Series 31, Series 32, and Series 34 exams. Only certain individuals will be able to reques the online administration of these exams. These…
Audit Brief: Updated accounting rule for reporting
Traditional business models in many sectors have been disrupted by the COVID-19 pandemic, geopolitical uncertainty, rising costs and falling consumer confidence. If your company is planning a major strategic shift this year, management may need to comply with the updated…
Broker Dealer Brief: Biggest Regulatory Risks for Broker Dealers
Given Finra’s recent pronouncements regarding REG BI and the difficulty expunging fines from records, it may be a good time to review your risks and procedures. Below are the greatest risks to Broker Dealers that may result in fines and/or…
Tax Brief: Tax Advantages of a C Corp – Compensation
If you’re the owner of an incorporated business, you know there’s a tax advantage to taking money out of a C corporation as compensation rather than as dividends. The reason: A corporation can deduct the salaries and bonuses that it…