Audit Broker Headquarters
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Audits of Brokers and Dealers - Goldman & Company, CPA’s
- https://goldmancompany.com/services/broker_dealer_audit/
- When it comes to broker dealer audits, it’s important to hire a firm with experience. For over 16 years, we have been providing audit services to broker dealers. Our firm provides audit services to over 35 securities brokers located throughout the United States. We are registered with the Public Company Accounting Oversight Board (“PCAOB”).
Audits/Regulatory Audit and Agency Advisory Services
- https://www.cbp.gov/trade/programs-administration/audits
- Regulatory Audit and Agency Advisory Services (RAAAS) is comprised of Field Offices throughout the United States that conduct audits, provide other professional services, and serve as subject matter experts in key areas of specialization. RAAAS uses a risk-based approach to assess compliance with trade laws and regulations, while collaborating with other U.S. …
Regulatory Audit and Agency Advisory Services Regional …
- https://www.cbp.gov/trade/programs-administration/audits/regulatory-audit-field-offices
- Regulatory Audit and Agency Advisory Services (RAAAS) Headquarters and Field Offices throughout the United States execute key operational functions, conduct performance audits, and provide other professional services. Contact information is provided on the Office of Trade Contact Numbers table. The Atlanta Field Office consists of five branches located in …
The Audit Firms of Broker-Dealers - Audit Analytics
- https://blog.auditanalytics.com/the-audit-firms-of-broker-dealers/
- Larger broker-dealers tend to have a minimum net capital requirement of $250,000, or possibly higher. Many smaller broker-dealers have a minimum net capital of $5,000. The chart below looks at audit firms for the top 10% and 20% of …
Hospitality Logistics | Audit Logistics LLC
- https://www.auditlogistics.com/
- Audit Logistics is, and plans to remain, the leading logistics provider in the Hospitality Industry. From our offices in Colorado, Washington, Illinois, and Georgia, we provide efficient and seamless Freight, Warehouse, and Installation management services. We integrate with our clients on projects of various sizes, delivering low costs and ...
PCAOB | Driving improvement in audit quality to protect …
- http://www.pcaobus.org/
- The PCAOB is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect investors and further the public interest in the preparation of informative, accurate, and independent audit reports. The PCAOB also oversees the audits of brokers and dealers, including compliance reports filed pursuant to federal securities …
SEC.gov | Staff Guidance for Filing Broker-Dealer Notices, …
- https://www.sec.gov/divisions/marketreg/bdnotices.htm
- File the statements required by this rule with: (1) the Commission’s headquarters; (2) the Commission’s office for the region in which the broker-dealer’s principal place of business is located; and (3) the principal office of the broker-dealer’s DEA. The filing with the Commission’s headquarters may be made by fax to 202-772-9273.
Jobs | CE Broker
- https://cebroker.com/jobs
- CE Broker is a small company that empowers its employees. We care about our team and offer full benefits and creative incentives for a healthy, active lifestyle! ... Regulatory Agencies Cut audit costs and increase compliance. ... We’re a team of spirited continuing education experts, and we’re growing at a rapid pace. Our headquarters are ...
Public Company Accounting Oversight Board - Wikipedia
- https://en.wikipedia.org/wiki/Public_Company_Accounting_Oversight_Board
- The PCAOB oversees the audits of public companies and SEC-registered brokers and dealers in order to protect investors and further the public interest in the preparation of informative, accurate, and independent audit reports. Headquarters: Washington, D.C., U.S.
Public Company Accounting Oversight Board (PCAOB)
- https://www.investopedia.com/terms/p/pcaob.asp
- The Public Company Accounting Oversight Board (PCAOB) is a non-profit organization that regulates audits of publicly traded companies to minimize audit risk. The PCAOB was established at the same ...
SEC.gov | Contact the SEC
- https://www.sec.gov/contact-information/sec-directory
- SEC Headquarters; SEC Regional Offices; Chairman and Commissioners. Chair Gary Gensler 202-551-2100 Chair@sec.gov; Allison Herren Lee (202) 551-2800 CommissionerLee@sec.gov; Hester M. Peirce (202) 551-5080 CommissionerPeirce@sec.gov; Caroline A. Crenshaw (202) 551-5070 CommissionerCrenshaw@sec.gov; SEC Headquarters. …
The Broker Dealer Audit Program - Ernst Wintter & Associates LLP
- https://www.ewallp.com/broker-dealer-audit-program/
- If you have any questions about our broker dealer services, one of our CPAs would be happy to speak with you at (925) 933-2626 or, email us at info@ewallp.com. Broker Dealer Audit accounting professionals, auditing services, broker dealer, broker dealer audit, Experienced Auditors, independent audit, walnut creek cpa.
TENA Companies, Inc. - Mortgage Quality Control - Loan Audit …
- https://www.tenaco.com/
- THANK YOU! Extensive experience, commitment to excellence, and an innovative approach to auditing. TENA is the nationwide leader in Mortgage Quality Control, providing a wide range of dependable, accurate and cost-effective Mortgage QC solutions. Contact us today to learn how TENA can help your organization stay compliant in an ever-changing ...
Contact Us | Interactive Brokers LLC
- https://www.interactivebrokers.com/en/index.php?f=customerService
- Interactive Brokers LLC. Is a member NYSE - FINRA - SIPC and regulated by the US Securities and Exchange Commission and the Commodity Futures Trading Commission. Headquarters: One Pickwick Plaza, Greenwich, CT 06830 USA Website: www.interactivebrokers.com. Interactive Brokers Canada Inc.
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