Accounting & Compliance International

Learn how Outsourcing the Financial and Operations Principal (FinOp) duties provides broker dealers with cost savings and a team with decades of expertise

ACCOUNTING & FINOP SERVICES

Review All of our Services ACI’s highly experienced Series 27 licensed Broker Dealer FinOps ensure independent broker dealers fulfill regulatory reporting obligations and provide internal management reporting and accounting services

What Is a Finop?

Understand the duties of a FinOp

FINRA Rule 1022 requires that all broker-dealers employ a qualified Series 27 Financial and Operations Principal (FinOp) We make that easy

ACI’s Jay Gettenberg, Elizabeth Attanasio, to Attend FINRA Annual Conference in Washington, DC

ACI’s Jay Gettenberg Nominated for FINRA District 10 Committee Membership

The Impact of PCAOB and How ACI Can Help Reduce Audit Fees

New FINRA CAB Rules

What Financial Services Leaders Say About Aci

“ACI was engaged to act as our FINOP and manage our finances at W R Hambrecht & Co, LLC Jay Gettenberg serves as our CFO and effectively oversees the ACI staff to ensure our regulatory filings are accurate and timely They have assisted us through FINRA inquiries without exception and have provided us with increased transparency in our efforts to manage cash flows and effectively operate our business As a supplement to the accounting expertise we have received, Jay Gettenberg assisted us in facilitating a significant transfer of retail brokerage accounts when we opted to refocus our operations on investment banking His experience and contacts within the industry were invaluable in our efforts to find a broker dealer that could properly service these customer accounts ” Reach out to see how ACI can support you