Broker-dealers are firms that buy and sell securities for clients or for their own accounts, helping facilitate smooth and efficient trading in financial markets.
Summit Group CPA: Leading the Way in Broker-Dealer Compliance
Response to the US Securities and Exchange Commission (SEC), the National Association of Securities Dealers (NASD), the Self-Regulatory Organization and the Federal Reserve Board of Governors issued rules and regulations, Summit Group CPA is committed to the broker-dealer community and stay on the cutting edge of the planning and compliance issues.
