SEC Surprise Custody Examinations
Registered Investment Advisers
At Rothstein & Company, LLC, our sole service is providing high quality SEC Surprise Custody Examinations for Registered Investment Advisers.
In response to the discovery of fraudulent practices by a number of high-profile
Registered Investment Advisers, the SEC took action in 2009 to increase protection for investors.
The SEC’s amended Custody Rule under the Investment Advisers Act of 1940 (Rule 206(4)-2)
requires investment advisers who are registered with the SEC and who have custody of client funds be subject to an annual surprise examination of client funds or securities.
This examination must be conducted by an independent certified public accountant registered
with the Public Company Accounting Oversight Board (PCAOB). Rothstein & Company, LLC, registered with the PCAOB, specializes in SEC custody exams.
Rothstein & Company, LLC, serves clients accross the United States.