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Regulatory Filings and Financial Statements

Managing Regulatory Filings and Required Statements

All businesses are responsible for maintaining accurate reports and books, in addition to submitting information to controlling agencies. With broker-dealer firms, the regulations on these companies are even more complex. At Goldcrest Consulting Services, LLC, we are FinOps and CPAs who take care of all of the financial regulatory filings and required financial statements.

Regulatory Filings

We handle financial reporting responsibilities that agencies like FINRA and the SEC require of your business.  Our team takes care of:

  • Monthly or Quarterly Focus Reports - Financial and Operational Combined Uniform Single Reports
  • Quarterly FINRA Form SSOI - Supplemental Statement of Income
  • Annual Schedule I
  • New - Form Custody For Broker-Dealers
  • Submit Focus Reports to Clearing Agents
  • SIPC-6 and SIPC-7 filings
  • Prepare Year-end Financials

Your broker-dealer firm doesn’t have to worry about what information to submit and by what deadline. We oversee, or can personally handle the maintenance of your company’s accounting records.

Financial Statements

Goldcrest Consulting Services, LLC understands the financials that will satisfy FINRA and SEC requirements. We work with you to prepare accrual-basis financial statements from your firm's books and records. We’re also capable of acting as the liaison between your broker-dealer and the designated audit firm.

Regulatory Filings and Financial Statements for Broker-Dealers

With new regulations being placed on the accounting, reporting and auditing processes for broker-dealers, it’s never been more essential to seek assistance from a FinOp and CPA.  With our firm’s experience acting as a FinOP for broker- dealers, as well as our decades of accounting experience, we know how to handle your reporting requirements.

Contact our office today to learn more about our FinOp services.

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We take care of your books for you, so you can get back to the job of running your business and generating profits.
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