Regulatory filings
Preparation and review of FOCUS reports, SSOI, Form Custody, SIPC filings and other required financial submissions.
Maven helps broker-dealers navigate the financial side of operating in a highly regulated industry—from formation through growth and change.
Our work frequently begins with FINOP services, but the relationship often expands as we learn the broader organization and its priorities.
Maven helps broker-dealers connect their accounting records, business activity and financial responsibility requirements.
Preparation and review of FOCUS reports, SSOI, Form Custody, SIPC filings and other required financial submissions.
Monitoring and analysis under SEC Rule 15c3-1, including capital charges, haircuts, aggregate indebtedness and contemplated transactions.
Annual audit coordination, financial statement support and preparation for FINRA and SEC examinations and information requests.
Our work is tailored to each firm’s business lines, clearing arrangements, ownership, counterparties and regulatory requirements.