Resources/ Updates


Reminder: Public Accountant Independence Statement Due ~ Dec 10th

In 2013, the SEC added a requirement for broker-dealers to identify their independent public accountant.  Pursuant to amended paragraph (f)(2) of SEA Rule 17a-5, broker-dealers must file a statement with the SEC and FINRA regarding this information.  The deadline for the yearly filing is December 10th.

  • If the broker-dealer filed a “Statement Regarding Independent Public Accountant” between June and December 2014 and the contractual commitment between the broker-dealer and the independent public accountant was of a continuing nature, then the broker-dealer does not need to file again in 2015.
  • This statement can now be filed electronically via the FINRA Firm Gateway.

Related Documents:

SDDCO – New FINRA e-Filing Form ~ Oct 9, 2014

New Template Available on FINRA Firm Gateway…(Statement Regarding Independent Public Accountant) ~ RN 14-39 ~ Oct. 2014)


SDDco specializes
in two industries.

Our know-how and our network supports the financial services & tech industries.

We hold the right training and licensures to keep you in step and mitigate risk.

Our Credentials


SDDco supports
industry leaders.

We oversee back office functions so you can focus on your own clients.

Major banks, private funds, RIAs, BDs, and tech startups choose us.

Our Clients


SDDco is as good
as its great people.

Our CPAs, FinOps and
consultants are licensed,
experienced professionals.

Partner with us for start-ups and for ongoing accounting, compliance and tax work.

Our People


SDDco performs
services onsite.

Outsourced support with
SDDco isn’t out of sight.

We work in your space and for your team on a regular basis. Engage the expertise without the fulltime hire.

Our Praises


SDDco observes
AICPA principles.

Our inaugural firm began
when two CPAs opened
a NYC office back in 1952.

We faithfully maintain the CPA standards: integrity, competency, confidentiality….

Our Group