Q: Are all broker/dealers required to have a Financial and Operations Principal? A: Yes. Many years ago the NASD allowed certain firms to be exempt
Financial Services
Providing financial assistance to clients is one of the ways that BDCA got started. Whether you need an experienced Financial and Operations Principals (FINOP) or help with brokerage accounting issues, we have a consultant that can help you. Please take a few minutes to review the links below to discover how BDCA can help your firm comply with regulatory financial requirements.
Let BDCA design and implement your brokerage accounting system. Take advantage of years of brokerage accounting experience by letting the experts at BDCA help
Most firms do not put much thought into structuring a chart of accounts for their general ledger. The fact is that a little foresight
SEC Rules 17a-3 and 17a-4 and NASD Rule 3110 mandate which records must be maintained by broker/dealers and for how long. The consultants at
BDCA can help you with anything from the simplest to the most complex accounting issues related to broker/dealers. Our brokerage accounting experts can help
B/D Consulting Associates, Inc. (BDCA) has a staff of experienced Financial and Operations Principals who can act as your firm’s FINOP on a temporary