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arising from regulatory action.


PCAOB Broker-dealer audits are complex and necessitate solid understanding of SEC, FINRA, and PCAOB guidelines. Many broker-dealers outsource preparation of the audit to a CPA firm with requisite skill to prepare the needed documentation. Should your firm hire assistance with preparing for the year-end certified broker-dealer audit, we would be happy to provide a quote.

Learn more about out-sourced and co-sourced BD audit preparation by RND Resources.