BROKER DEALER AUDITOR FEE QUOTE

17 Questions for an Audit Quote

Please complete the form below and submit. Our auditing team will send you a fee quote within 72 hours.

BD Industry Characteristics / Arrangements

1. Exemption to the SEC's Customer Protection Rule 17 C.F.R. §240.15c3-3.
(Mark all that apply. Must select at least one.)

2. Net Capital Requirement

3. Does the BD utilize a Clearing Broker?

4. Does the BD take any Haircuts for the following?
(Mark all that apply. Must select at least one.)

5. If conducting retail, number of daily tickets

Operations

6. Briefly describe how the BD earns its revenue

7. Approximate Annual Revenue

8. Approximate Number of Monthly Disbursements

9. Approximate Number of Monthly Deposits

10. Number Sales Representatives?

11. What Accounting Software does the BD utilize?


12. Does the BD have any of the following arrangements with related entities?
(Mark all that apply. Must select at least one.)

13. Number of Shareholder(s)/Member(s)/Partner(s)

14. Does the BD utilize a Payroll Service Provider?

15. Do any of the following exist for the BD?
(Mark all that apply. Must select at least one.)

16. Interested in bundling your audit and tax return preparation?

17. How did you hear about us?


Please select at least one checkbox from questions 1, 4, 12, and 15.


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