https://compliance.cpa/blog.html Practical FINRA and SEC compliance articles for broker-dealers, investment advisers and municipal advisors, by Debasish Banerjee, CPA. en-us Mon, 26 Oct 2026 10:00:00 -0700 https://compliance.cpa/img/og-image.jpg https://compliance.cpa/blog.html https://compliance.cpa/blog/how-to-choose-a-clearing-firm.html https://compliance.cpa/blog/how-to-choose-a-clearing-firm.html Mon, 26 Oct 2026 10:00:00 -0700 How a broker-dealer compares clearing firms: clearing models, deposits and fees, net capital effects, the Rule 4311 agreement, and where to find a list. https://compliance.cpa/blog/series-27-finop-responsibilities.html https://compliance.cpa/blog/series-27-finop-responsibilities.html Wed, 21 Oct 2026 08:00:00 -0700 Understand Series 27 FINOP duties, net capital oversight, FOCUS reporting, and the controls broker-dealers need to remain examination-ready every day. https://compliance.cpa/blog/securities-industry-compliance-jobs.html https://compliance.cpa/blog/securities-industry-compliance-jobs.html Tue, 20 Oct 2026 08:00:00 -0700 Understand securities industry compliance jobs, the skills behind them, and when a firm needs dedicated staff, outsourced oversight, or both in practice. https://compliance.cpa/blog/finra-compliance-consultant-responsibilities.html https://compliance.cpa/blog/finra-compliance-consultant-responsibilities.html Mon, 19 Oct 2026 08:00:00 -0700 What FINRA compliance consulting services should cover: supervision, net capital, FOCUS filings, AML testing and exam prep, plus how to choose a consultant. https://compliance.cpa/blog/broker-dealer-compliance-consultant.html https://compliance.cpa/blog/broker-dealer-compliance-consultant.html Sun, 18 Oct 2026 08:00:00 -0700 A broker dealer compliance consultant aligns supervision, filings, financial controls, and exam readiness so your firm stays prepared and accountable. https://compliance.cpa/blog/sec-municipal-advisor-registration-requirements.html https://compliance.cpa/blog/sec-municipal-advisor-registration-requirements.html Sat, 17 Oct 2026 08:00:00 -0700 Municipal advisor registration requirements SEC rules demand strong Form MA filings, MSRB enrollment, disclosure controls, and ongoing supervisory oversight. https://compliance.cpa/blog/investment-adviser-annual-compliance-review.html https://compliance.cpa/blog/investment-adviser-annual-compliance-review.html Fri, 16 Oct 2026 08:00:00 -0700 Plan an investment adviser annual compliance review that tests real controls, documents findings, and prepares your firm for an SEC or state regulatory examination. https://compliance.cpa/blog/form-crs-filing-requirements.html https://compliance.cpa/blog/form-crs-filing-requirements.html Thu, 15 Oct 2026 08:00:00 -0700 Form CRS filing requirements explained for SEC advisers and broker-dealers, including filing, delivery, updates, records, and examination-ready controls. https://compliance.cpa/blog/reg-bi-compliance-program-requirements.html https://compliance.cpa/blog/reg-bi-compliance-program-requirements.html Wed, 14 Oct 2026 08:00:00 -0700 Reg BI compliance program requirements explained: controls, evidence, supervision, and review cycles for defensible retail recommendations across firms. https://compliance.cpa/blog/outsourced-chief-compliance-officer-broker-dealer.html https://compliance.cpa/blog/outsourced-chief-compliance-officer-broker-dealer.html Tue, 13 Oct 2026 08:00:00 -0700 An outsourced chief compliance officer broker dealer arrangement strengthens supervision, AML oversight, filings, and examination readiness with support. https://compliance.cpa/blog/written-supervisory-procedures-broker-dealer.html https://compliance.cpa/blog/written-supervisory-procedures-broker-dealer.html Mon, 12 Oct 2026 08:00:00 -0700 Written supervisory procedures for broker-dealers turn regulatory obligations into assigned, testable controls that stand up to FINRA review in practice. https://compliance.cpa/blog/broker-dealer-net-capital-monitoring.html https://compliance.cpa/blog/broker-dealer-net-capital-monitoring.html Sun, 11 Oct 2026 08:00:00 -0700 Broker dealer net capital monitoring helps firms detect liquidity pressure, protect required capital, and maintain accurate, regulator-ready reporting. https://compliance.cpa/blog/how-to-prepare-focus-report.html https://compliance.cpa/blog/how-to-prepare-focus-report.html Sat, 10 Oct 2026 08:00:00 -0700 What a FINRA FOCUS report is, who files which part, when it's due, and a practical checklist for accurate net capital and filing review. https://compliance.cpa/blog/aml-independent-testing-for-broker-dealers.html https://compliance.cpa/blog/aml-independent-testing-for-broker-dealers.html Fri, 09 Oct 2026 08:00:00 -0700 AML independent testing for broker dealers helps validate controls, identify gaps, and prepare your firm for FINRA review, year after year on schedule. https://compliance.cpa/blog/finra-rule-1017-ownership-change.html https://compliance.cpa/blog/finra-rule-1017-ownership-change.html Thu, 08 Oct 2026 08:00:00 -0700 When a change in ownership or control needs a FINRA Rule 1017 continuing membership application, what to file, and how long it takes. https://compliance.cpa/blog/outsourced-finop-services-for-broker-dealers.html https://compliance.cpa/blog/outsourced-finop-services-for-broker-dealers.html Wed, 07 Oct 2026 09:00:00 -0700 Outsourced FINOP services for broker dealers provide net capital oversight, accurate FOCUS reporting, and regulator-ready financial operations each month on time. https://compliance.cpa/blog/finra-new-membership-application-assistance.html https://compliance.cpa/blog/finra-new-membership-application-assistance.html Wed, 07 Oct 2026 08:00:00 -0700 FINRA new membership application assistance helps broker-dealer founders align business plans, capital, supervision, and filings before review begins.