Webinar Replay: Regulator Red Flags ─ Common Broker-Dealer Financial Statement Errors

When reviewing corporate financial statements, the SEC, FINRA and other designated examining authorities focus first on the errors that appear most frequently. Being aware of these pitfalls equips preparers to correct them beforehand and even avoid them altogether. We invite you to join our specialists as they identify these errors and the red flags to watch for when compiling financial statements. 

Webinar Replay Here

Key Topics: 

  • Revenue (ASC 606) Disclosures
  • Lease (ASC 842) Disclosures
  • Supplemental Schedules
  • Exemption and Compliance Report
  • Going Concern Considerations

Victor Pena, CPA, Partner, Broker-Dealer Practice Leader

Featured Speakers:
Financial Services
Harley Aronoff, CPA, Partner, PCAOB Quality Assurance Leader
Rachel DiDio, CPA, Partner
Kevin Keane, Jr., CPA, Partner

Click Here to Meet the Team!