Industries We Serve
Broker-Dealer Audit, Accounting, and FINRA Compliance
Accounting for Broker-Dealers
Topel Forman provides specialized broker-dealer audit, accounting, and tax services to investment banking firms, proprietary trading firms, and other non-carrying broker-dealers.
Our team understands the complex financial reporting, FINRA audit, and SEC compliance requirements broker-dealers face — and delivers clear guidance, responsive service, and technically sound audited reports that support regulatory confidence.
FINRA Audit and Broker-Dealer Regulatory Requirements
Broker-dealers operate in a highly regulated environment requiring accurate financial reporting, timely filings, and compliance with SEC and FINRA financial statement audit rules.
We help firms navigate:
- Annual FINRA audit requirements
- Issuing compliant audited financial statements and reports
- Issuing agreed-upon procedures and exemption reports
- Net capital and customer protection rule considerations
- Regulatory filings and reporting deadlines
- Ongoing accounting support
Our proactive approach helps reduce regulatory risk while keeping your firm focused on operations and growth.
Broker-Dealer Accounting and Financial Reporting Expertise
Accurate broker-dealer accounting is critical to maintaining compliance and producing reliable audited reports.
Topel Forman supports firms with:
- GAAP-compliant financial statement preparation
- Revenue recognition and fair value measurement
- Net capital calculations and supporting schedules
- Internal control considerations and documentation
Our professionals bring deep technical knowledge combined with practical, business-focused insight.
Experienced Auditors for Non-Carrying Broker Dealers
We serve a wide range of broker-dealer structures, including:
Investment Banking and Advisory Firms
Financial reporting and audit guidance aligned with transaction-driven business models.
Proprietary Trading Firms
Specialized accounting, valuation, and compliance considerations.
Other Non-Carrying Broker-Dealers
Audit and reporting support tailored to operational complexity and regulatory scope.
A Proactive Partner Beyond the Annual Audit
Topel Forman works with broker-dealers year-round — not just during audit season.
We provide:
- Ongoing financial reporting compliance and accounting guidance
- Insight into regulatory developments and rule changes
- Responsive access to experienced professionals
- Practical recommendations to strengthen controls and reporting
Our goal is to deliver more than an audited report — we deliver confidence.
Why Broker-Dealers Choose Topel Forman
Firms rely on Topel Forman for:
- Deep specialization in broker-dealer audits and accounting
- Accurate, timely audited financial reports
- Strong understanding of FINRA and SEC requirements
- Responsive, relationship-driven client service
Topel Forman is registered with the Public Company Accounting Oversight Board (PCAOB)
Talk To An Advisor
Matt Osiol
John Rozek
Dan Sloan
Industries We Serve
Brokers/Dealers
Every broker-dealer faces a unique set of challenges, including revenue recognition, fair value measurement, SEC and FINRA filing requirements, regulatory compliance and more.
CLOSELY-HELD BUSINESSES
Closely held businesses and their owners benefit from Topel Forman’s extensive tax and accounting experience tailored to the needs of a wide range of industries, entity types, and business structures.
Construction Accounting
Topel Forman understands the specialized accounting, tax, and consulting issues affecting the construction industry.
Dealerships
Topel Forman has years of experience in serving the unique need of automobile dealerships.
Employee Benefit Plans
Every company is different. Every retirement plan is unique. Every employee depends on the plan’s trustees to protect the integrity of their contributions and retirement investments.
High Net Worth Individuals
Topel Forman is a trusted name in high–net-worth tax planning, with extensive experience and a well-earned reputation for integrity, professionalism, and responsiveness.
Investment Companies
Investment companies face close scrutiny from the IRS, regulators and clients. Topel Forman offers a personalized approach working seamlessly with fund managers and accountants.
Manufacturing & Distribution
Topel Forman provides a wide range of accounting and audit, tax and consulting services to companies in the manufacturing and distribution industries.
Not-For-Profit Organizations
Not-for-profit organizations and private foundations face cumbersome tax compliance and auditing reporting requirements.
Private Equity
Topel Forman offers private equity accounting, tax and consulting services with a focus on understanding the unique challenges your business faces in order to deliver personalized results.
Professional Service Corporations
Professional services corporations (PSC) benefit from our hands-on approach to accounting, tax, and consulting services.
Real Estate
Topel Forman provides experience for real estate accounting and tax compliance that few firms can match, while offering the personalized attention and close teamwork we are best known for.
Technology
As an accounting firm with many clients in the technology industry, we provide agile services to support you from start-up to a successful exit strategy.