Keeping you ahead of the curve and positioned to succeed

Because broker-dealers face unprecedented regulation, those in the industry need audit and tax specialists who are up-to-speed on current regulatory and compliance issues.

The professionals at Louis Plung & Company are well-versed in current regulatory issues related to the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), the National Association of Securities Dealers (NASD), and other regulatory organizations.

We offer a full range of accounting, auditing, and tax services to handle the specific needs of broker-dealers.  These services include:

  • Financial statement audits required by Rule 17a-5
  • Representation before regulatory bodies
  • Entity analysis and restructuring
  • Internal control analysis
  • Mergers & acquisition services
  • Strategic tax planning and compliance
  • Analysis of compliance procedures
  • Operational consultation

How can our experts help you?


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