Extensive experience in regulatory accounting
and analysis


Outsourced regulatory accounting ensuring net capital compliance

We are focused on assisting your firm with full-service bookkeeping, accounting, and submissions of regulatory filings. Our highly qualified experts will assist your firm in minimizing costs while ensuring ongoing regulatory compliance. We offer customized solutions based on your specific needs.

We assess your current regulatory accounting systems, automate and improve in-house efficiencies for long term success. Our professionals typically serve as an Outsourced Financial Controller for broker dealer members or perform services to assist your FINOP.

Our areas of expertise include:

SEC Net Capital Rule (Rule 15c3-1) and U.S. Securities Haircuts

Preparation of daily and monthly Customer Reserve Computation (15c3-3) and Net Capital report (15c3-1), daily futures Seg report and monthly TIC – Form S, SLT, and annual SHCA and SHLA.

Developing, streamlining and automating various analytical processes, i.e. aged fails, suspense account analysis, stock loan/borrow analysis, margin variance analysis, allocation analysis, and G/L tie-outs.

Performing daily COD/COR reconciliation setting up and purging trade tags, SEG deficit analysis, aging analysis and extensions filing with FINRA.

Calculating regulatory net capital, and preparing your periodic regulatory reports including FOCUS, SSOI, SIS, and Form Custody.

Accounts payable/receivable, payroll, month end closing, G/L maintenance and financial statement preparation.

Complex financial products including fixed income, mortgage backed, options and futures.

RegComp strongly understands the close relationship between compliance and accounting at any broker dealer as well as other firms. We have worked with many broker dealers throughout our history, and have partnered with some of the leading Fortune 500 companies to assist on projects.

Let us centralize all of your accounting functions, manage the regulatory reporting for you and assist in ensuring capital compliance.

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