Securities

To maintain your position at the forefront of an industry-in-transition, you must keep abreast of emerging capital markets, the tremendous advances in technology, and increasing deregulation. At MBAF, we are well positioned to help you.

In addition to the tax, audit and consulting services we offer our clients, MBAF is also experienced in testing federal and state compliance and providing audits to regulators, including the Securities and Exchange Commission, NYSE, National Futures Association, and the National Association of Securities Dealers, Inc., among others.

Our consultants are adept at the ins-and-outs of the rigorous regulatory requirements faced by investment advisors and broker/dealers. are skilled in auditing financial statements and helping our clients comply with the various regulating agency requirements. Over the years, MBAF has adapted our services to reflect the needs of the securities industry.

The following is a sampling of our capabilities:

  • Auditing and review
  • Compliance auditing
  • Employee benefits
  • Financial forecasts and projections
  • Mergers and acquisitions
  • SEC and other regulatory filings
  • Tax planning services
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Securities Group

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