Broker-Dealer Audit Services
Broker-dealer audits are complex, but they don’t have to be disruptive. Haynie helps broker-dealers stay compliant with SEC, FINRA, and PCAOB regulations while streamlining, speeding up, and making the broker-dealer audit process more predictable. Our specialized team provides PCAOB broker-dealer audits, SEC Rule 17a-5 compliance examinations, and SIPC-7 agreed-upon procedures for firms nationwide.
Broker-Dealer Audit Services
We provide comprehensive audit and compliance services for broker-dealers, including:
- PCAOB Broker-Dealer Audits
- SEC Rule 17a-5 Compliance Examinations
- SIPC-7 Agreed-Upon Procedures
- Net Capital & Customer Reserve Reviews
- Regulatory Insights and Audit Preparation
- Clearing, Carrying, and Exempt Brokers
Our team works closely with CFOs, compliance officers, and broker-dealer executives to ensure audits run efficiently and filings are completed accurately.
Why Broker-Dealers Choose Haynie
- Specialized Broker-Dealer Audit Team
- PCAOB-Registered Accounting Firm
- Experience With SEC, FINRA, and SIPC Requirements
- 25+ Broker-Dealer U.S. Clients Served
- Responsive, Practical Approach
While many firms are stepping away from broker-dealer audits due to regulatory complexity, Haynie has expanded its team to support the industry.
Our goal is simple: make broker-dealer audits organized, efficient, and stress-free.
Reduce Risk and Stay Audit-Ready
Broker-dealers must stay compliant with critical regulations, including:
- SEC Rule 15c3-1 (Net Capital Rule)
- SEC Rule 15c3-3 (Customer Protection Rule)
- SEC Rule 17a-5 Broker-Dealer Reporting
- SIPC Assessment Procedures
Proactive preparation and experienced auditors can help your firm avoid delays, reduce compliance risk, and improve regulatory confidence.
Work With a Broker-Dealer Audit Firm That Understands Your Industry
If you’re preparing for an upcoming broker-dealer audit, reviewing SEC Rule 17a-5 filings, or looking for a PCAOB-registered audit firm, Haynie can help.