MBAF helps you stay in the know when it comes to emerging capital markets, technology, and increasing deregulation.
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 Financial Industry Regulatory Authority, among others.
Key SEC Capabilities
- Auditing and review
- Compliance auditing
- Employee benefits
- Financial forecasts and projections
- Mergers and acquisitions
- SEC and other regulatory filings
- Tax planning services
Our consultants are adept at the ins-and-outs of the rigorous regulatory requirements faced by investment advisors and broker/dealers. We are skilled in auditing financial statements and helping our clients comply with the various regulating agency requirements, including filing form X-17A-5 Part III and reviewing the Company's quarterly unaudited form X-17A-5 Part IIA (FOCUS) filings.
