by Keiter CPA | May 5, 2025 | Articles
May 5, 2025 By Courtney K. Corallo, CPA, Business Assurance & Advisory Services Senior Manager Over-the-counter securities transactions are subject to oversight by FINRA On August 23, 2023, the Securities and Exchange Commission (SEC) adopted amendments that...
by Keiter CPA | May 2, 2025 | Articles
May 2, 2025 By Courtney K. Corallo, CPA, Business Assurance & Advisory Services Senior Manager PCAOB inspection report findings can be a useful resource for broker-dealers Per the most recent FINRA Industry Snapshot Report, there were 3,378 broker-dealers...
by Keiter CPA | Apr 28, 2025 | Articles
April 28, 2025 By Teresa Marangon, CPA, Business Assurance & Advisory Services Manager Managing potential internal control risks Five years ago, the COVID-19 pandemic abruptly changed not only everyone’s everyday lives, but also the workplace. Companies went from...
by Keiter CPA | Apr 22, 2025 | Articles
April 22, 2025 By Yuting Chen, CPA, Tax Manager On February 6, 2025, President Donald Trump had discussions with Congressional Republican leadership about proposals for eliminating the favorable capital gains tax treatment on carried interest for ordinary income tax...
by Keiter CPA | Mar 18, 2025 | Articles
March 18, 2025 By Christopher L. Wallace, CPA, Partner The MFA’s deregulation wishlist for the SEC There has been a flourish of activity with the new Administration since President Trump was inaugurated on January 20, 2025, and one of his numerous Executive Orders...
