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# Maven Strategic | Outsourced Financial Operations Principal (FINOP) Services

Professional financial consulting services, with a focus on small to medium-sized businesses.

## Sitemaps

- [XML Sitemap](https://mavenstrategic.com/sitemap.xml): Contains all public & indexable URLs for this website.

## Posts

- [CARES Act Paycheck Protection Program, etc.](https://mavenstrategic.com/cares-act-paycheck-protection-program/) - April 3rd update - Major clarification in the new regs were issued late last night. https://home.treasury.gov/system/files/136/PPP--IFRN%20FINAL.pdf 1099’d independent contractors are NOT includable in the calculation for maximum loan or in the forgiveness. Independent contractors will have the ability to apply individually. For example, if you are a broker/dealer, and your reps are independent contractors, you
- [Wow, it's been almost 5 years...what's new?  POO and PFO designations for one.](https://mavenstrategic.com/wow-its-been-almost-5-years-whats-new-poo-and-pfo-designations-for-one/) - It is hard to believe that it has been almost 5 years since my last post. While a lot has stayed the same, a lot has changed. One thing is for sure, the role of the FINOP is more important than ever. In an effort to ensure transparency, the regulators continue to add additional regulatory
- [Revision to Designation of Accountant requirements](https://mavenstrategic.com/revision-to-designation-of-accountant-requirements/) - Back in November 2013, we talked about the Designation of Accountant requirements. Well, effective June 1, 2014 there was an amendment to SEC Rule 17a-5(f)(2). As such, all Broker/Dealers must file a NEW Designation of Accountant form. FINRA has recently announced that there is a new electronic form, which will be available on the FINRA
- [Amended SEC Rule 17a-5(d) - Exemption or Compliance Report requirement effective June 2014](https://mavenstrategic.com/amended-sec-rule-17a-5d-exemption-or-compliance-report-requirement-effective-june-2014/) - In accordance with the amended SEC Rule 17a-5(d),Broker/Dealer's are now required to file annually either a compliance report or an exemption report. If your firm did not claim an exemption from Rule 15c3-3 (carrying brokers) for part or all of the year, you are required to file a compliance report. The compliance report must include
- [As Busy Season Comes to an End...](https://mavenstrategic.com/as-busy-season-comes-to-an-end/) - Unlike most accountants, busy season for FINOP’s and Broker/Dealer accountants does not coincide with tax season. Rather, it relates to the regulatory requirement to submit annual audited financial statements within 60 days of the Firm’s fiscal year end. As such, January and February are our busy seasons, where we are closing the month of December,
- [FINRA Banking Changes](https://mavenstrategic.com/finra-banking-changes/) - As a reminder, in February 2014, FINRA will switch its banking services to a new bank. As part of this transition, FINRA will simplify the methods firms use to make payments to them. FINRA will consolidate all check payment addresses, with the exception of GASB payments, into a single payment address. This change will allow
- [Designation of Accountant](https://mavenstrategic.com/designation-of-accountant/) - As per SEC Rule 172-5(f)(2): Every broker or dealer that is required to file an annual report of financial statements section shall file no later than December 10 of each year a statement with the Commission's principal office in Washington, DC, the regional office of the Commission for the region in which its principal place
- [SEC Rule Amendment Summary](https://mavenstrategic.com/sec-rule-amendment-summary/) - We recently sent out the following cover letter to our clients, along with a .pdf summary. If you would like to receive a copy of our rule amendments summary, please contact us! To our valued clients: On August 21, 2013, The Federal Register published the Final Rule of the SEC on their adoption of amendments
- [Welcome to our new and improved website!](https://mavenstrategic.com/welcome/) - Welcome to our new and improved website. We are very excited to launch the site concurrent with the roll-out of our new company logo.Our hopes are that the site provides a clean concise conveyance of information and resources for our clients and prospects.Additionally, current clients have the ability to log directly into their books and records
- [Form Custody](https://mavenstrategic.com/form-custody/) - The new Form Custody is now available through FINRA's Firm Gateway. Form Custody is a new filing requirement for all broker/dealers to submit on a quarterly basis, coinciding with FOCUS filings. There is no exemption from this filing! Its purpose is to gather information about the B/D's practices with respect to the custody of securities and

## Pages

- [The Maven Market](https://mavenstrategic.com/the-maven-market/) - Our attempt to assist with matching buyers and sellers…job seekers and candidate seekers, all comes down to TIMING.
- [The Maven Market Listings](https://mavenstrategic.com/the-maven-market/current-listings/) - Looking to buy or sell a firm? Let us help you with your next opportunity.
- [Our Mavens](https://mavenstrategic.com/about/our-mavens/) - Maven Strategic Solutions, LLC provides professional financial consulting services, with a focus on small to medium-sized businesses.
- [Financial & Operations Principal (FINOP) Services](https://mavenstrategic.com/finop-services/) - Maintaining a good set of books and records is recommended. Ensuring that you are in regulatory compliance is essential.
- [Our Story](https://mavenstrategic.com/about/our-story/) - Maven Strategic is now over 15 years strong with multiple professionals servicing clients throughout the United States.
- [Blog](https://mavenstrategic.com/blog/) - BD Accounting, Broker Dealer FINOP, FINOP, Outsourced FINOP
- [Resources](https://mavenstrategic.com/resources/) - Whether it be recommending a best in class tax advisor, or pointing you in the right direction for payroll services, you can count on us to assist you in addressing all of your business needs.
- [Contact Us](https://mavenstrategic.com/contact-us/) - If you are considering utilizing an outside resource to assist you with your accounting, financial, or FINOP needs, contact us immediately. If we are not your answer, we probably can direct you to the solution!
- [Client Testimonials](https://mavenstrategic.com/about/client-testimonials/) - Over 75% of our business is referral-based - See what our clients are saying
- [About Us](https://mavenstrategic.com/about/) - Maven Strategic Solutions, LLC provides professional financial consulting services, with a focus on small to medium-sized businesses.
- [Sample Page](https://mavenstrategic.com/sample-page/) - This is an example page. It's different from a blog post because it will stay in one place and will show up in your site navigation (in most themes). Most people start with an About page that introduces them to potential site visitors. It might say something like this: Hi there! I'm a bike messenger
- [Contact Maven Market](https://mavenstrategic.com/the-maven-market/maven-market-contact/) - If you are considering utilizing an outside resource to assist you with your accounting, financial, or FINOP needs, contact us immediately.
- [B/D, Hedge Fund, and RIA Compliance & Operations Support](https://mavenstrategic.com/services/brokerdealer-services/compliance-operations-support/bd-hedge-fund-and-ria-compliance-operations-support/) - B/D, HEDGE FUND, and RIA COMPLIANCE & OPERATIONS SUPPORT
- [Features of Broker/Dealer Reporting](https://mavenstrategic.com/services/brokerdealer-services/brokerdealer-reporting/features-of-brokerdealer-reporting/) - Broker/Dealer Reporting, Compliance & Operations Support, Human Resources and Employee Benefits
- [Compliance and Operations Services](https://mavenstrategic.com/services/brokerdealer-services/compliance-operations-support/compliance-and-operations-services/) - Exceptional compliance and operational services to support the critical functions of your securities firm, hedge fund, or Registered Investment Advisor (RIA)
- [Human Resources and Employee Benefits](https://mavenstrategic.com/services/brokerdealer-services/human-resources-and-employee-benefits/) - Help an organization attract, retain and reward quality employees in a cost effective manner.
- [Compliance & Operations Support](https://mavenstrategic.com/services/brokerdealer-services/compliance-operations-support/) - B/D, HEDGE FUND, and RIA COMPLIANCE & OPERATIONS SUPPORT
- [Broker/Dealer Reporting](https://mavenstrategic.com/services/brokerdealer-services/brokerdealer-reporting/) - Broker/Dealer Reporting, Compliance & Operations Support, Human Resources and Employee Benefits
- [Industry Strategic Partners and Their Services](https://mavenstrategic.com/services/brokerdealer-services/industry-strategic-partners-and-their-services/) - Broker/Dealer Reporting, Compliance & Operations Support
- [Outsourced Controller & Chief Financial Officer (CFO) Services](https://mavenstrategic.com/services/outsourced-controller-chief-financial-officer-cfo-services/) - Board of Directors and investor presentations and more.
- [FINOP Services](https://mavenstrategic.com/services/finop-services-2/) - Maven Strategic will act as your brokerage firm’s FINOP on an outsourced basis.
- [Why Maven?](https://mavenstrategic.com/why-maven-2/) - Our customized services are designed to provide you with financial expertise at affordable rates.
- [Got FINOP?](https://mavenstrategic.com/got-finop/) - We take a proactive approach to maintaining your books and records, staying ahead of the regulations.
- [Other Services](https://mavenstrategic.com/other-services/) - Identifying acquisition targets, finding a qualified buyer for your business and more.
- [Broker/Dealer Services](https://mavenstrategic.com/services/brokerdealer-services/) - Broker/Dealer Reporting, Compliance & Operations Support, Human Resources and Employee Benefits
- [Outsourced CFO Services](https://mavenstrategic.com/services/outsourced-cfo-services/) - Financial statement preparation, review, and analysis and more.
- [Your Source of Resources; Outsourced CFO and FNOP Services](https://mavenstrategic.com/slider-1/) - Your Source of Resources; Outsourced CFO and FNOP Services
- [Client Login](https://mavenstrategic.com/client-login/)
- [Core Services](https://mavenstrategic.com/services/) - Outsourced CFO Services, Broker/Dealer Services, FINOP Services, Outsourced Controller Services

## Categories

- [Blog](https://mavenstrategic.com/category/blog/)

## Tags

- [Accounting for Broker Dealers](https://mavenstrategic.com/tag/accounting-for-broker-dealers/)
- [amended SEC Rule 17a-5](https://mavenstrategic.com/tag/amended-sec-rule-17a-5/)
- [Audits of Broker Dealers](https://mavenstrategic.com/tag/audits-of-broker-dealers/)
- [BD Accounting](https://mavenstrategic.com/tag/bd-accounting/)
- [Broker Dealer Accounting](https://mavenstrategic.com/tag/broker-dealer-accounting/)
- [Broker Dealer FINOP](https://mavenstrategic.com/tag/broker-dealer-finop/)
- [Broker Dealer reporting requirements](https://mavenstrategic.com/tag/broker-dealer-reporting-requirements/)
- [Broker/Dealer audits](https://mavenstrategic.com/tag/brokerdealer-audits/)
- [Compliance Report](https://mavenstrategic.com/tag/compliance-report/)
- [Designation of Accountant](https://mavenstrategic.com/tag/designation-of-accountant/)
- [Exemption Report](https://mavenstrategic.com/tag/exemption-report/)
- [FINOP](https://mavenstrategic.com/tag/finop/)
- [FINRA regulatory filings](https://mavenstrategic.com/tag/finra-regulatory-filings/)
- [Form Custody](https://mavenstrategic.com/tag/form-custody/)
- [Outsourced FINOP](https://mavenstrategic.com/tag/outsourced-finop/)
- [Rule 15c3-1](https://mavenstrategic.com/tag/rule-15c3-1/)
- [SEC Rule 17a-5](https://mavenstrategic.com/tag/sec-rule-17a-5/)
- [SEC Rule 17a-5(d)](https://mavenstrategic.com/tag/sec-rule-17a-5d/)
- [SEC Rule 17a-5(f)](https://mavenstrategic.com/tag/sec-rule-17a-5f/)
- [PFO](https://mavenstrategic.com/tag/pfo/)
- [POO](https://mavenstrategic.com/tag/poo/)
- [COVID-19](https://mavenstrategic.com/tag/covid-19/)
- [Payroll Protection Program](https://mavenstrategic.com/tag/payroll-protection-program/)
- [EIDL](https://mavenstrategic.com/tag/eidl/)
- [SBA Loans](https://mavenstrategic.com/tag/sba-loans/)
- [Broker-dealer Disaster Loans](https://mavenstrategic.com/tag/broker-dealer-disaster-loans/)
- [Pandemic Loans](https://mavenstrategic.com/tag/pandemic-loans/)