Broker Dealer Auditor, 17 Questions for a Fee Quote within 72 Hours

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.)

(k)(1) (k)(2)(i) (k)(2)(ii) (k)(3) No Exemption (Exempt from 15c3-3) No Exemption (Subject to 15c3-3) Customer Protection Rule

2. Net Capital Requirement

$5,000 $25,000 $50,000 $100,000 $250,000

3. Does the BD utilize a Clearing Broker?

Yes No

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

Money Market Funds Marketable Securities Bonds Other Investments Undue Concentration Other (Fidelity bond, arbitrage, blockage, etc.) None

5. If conducting retail, number of daily tickets

2 or less 10 or less 20 or less Over 20 N/A

6. Briefly describe how the BD earns its revenue

7. Approximate Annual Revenue

$0 - $499,999 $500,000 - $1,499,999 $1,500,000 - $4,999,999 $5,000,000 - $9,999,999 $10,000,000 - $24,999,999 $25,000,000 - $49,999,999 $50,000,000 and above

8. Approximate Number of Monthly Disbursements

25 or less 26 - 60 61 - 100 Over 100

9. Approximate Number of Monthly Deposits

0 - 5 6 - 10 11 - 20 Over 20

10. Number Sales Representatives?

1 - 2 3 - 5 6 - 20 21 - 50 Over 50

11. What Accounting Software does the BD utilize?

QuickBooks Sage Manual Entry Other

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

Expense Sharing Agreement(s) Management Service Contract(s) Shared or Allocated Expenses/Revenues Shared Office Space or Staff None

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

1 2 3 or more

14. Does the BD utilize a Payroll Service Provider?

Yes No (Internally Processed) N/A (No Payroll)

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

Long-Term Lease(s) (>1 year) Pending, threatened or settled litigation during the last fiscal year Secured Demand Note(s) Subordinated Loan(s) Subordinated Interest Subsidiary Entities Issuance/redemption of entity ownership during the last fiscal year Stock Compensation Equity investment in private companies Equity investment in public companies None

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

Yes No

17. How did you hear about us?

Website Internet search Industry Conference Marketing Letter Referral (list name)

BROKER DEALER AUDITOR FEE QUOTE

17 Questions for an Audit Quote

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?

BROKER DEALER AUDITOR FEE QUOTE

17 Questions for an Audit Quote

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?

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.)

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

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

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