By Joseph Cassano, CPA – Senior Manager – WithumSmith+Brown, PC Cybersecurity has become the latest buzz word and focus of the United States Securities and Exchange Commissions (“SEC”).  The SEC realizes that registered investment advisers (“RIA’s”) are using technology more and more in everyday business, and the need to protect […]

Types of Broker-Dealers

By Malia Mon, CPA – Staff Accountant – WithumSmith+Brown, PC A broker-dealer is a company that engages in the business of trading securities for its own account or on behalf of its customers. Seems simple doesn’t it? A broker-dealer appears to be a straightforward concept; however, there are many different […]


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