The time consuming process of preparing monthly financial statements, net capital computations, and filing monthly and/or quarterly FOCUS reports can significantly reduce time available for revenue producing or compliance activities. The FinOp must remain current on rule changes or new interpretations that may affect a firm’s net capital position and ultimately its ability to conduct certain types of securities business.

SRP will assist with the following:

  • General ledger;
  • Review of financial statements, prepare net capital computations and file FOCUS reports;
  • Participate in the annual financial audit and NASD/SEC examination;
  • Advise on the changes in the Financial Responsibility Rules; and
  • Advise clients as to the impact on net capital of proposed transactions.

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