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Financial 101

The Financial Risk of Owning Too Much Company Stock

August 23, 2021 by probizinfo

Are you starting to view your accumulated stock as overwhelmingly large? If you’ve accumulated enough to begin worrying about whether you’re managing it properly, you have two very different conflicting thoughts about your investment. One thought might be that your stock is a source of great potential. You’ve seen the good going on at your […]

Categories: Filed Under: Financial 101 Tags: Tagged With: financial advisor

Extra Cash: Make it Work For You with a Savings Plan

July 7, 2021 by Bernadette

People often approach financial advisors with concerns about cash building up in their savings accounts. It’s not a bad problem, but if it’s sitting in savings accounts with low interest rates, it’s an underutilized asset. If you’re in a similar situation, like these people, you might be concerned about spending your extra cash. It’s a […]

Categories: Filed Under: Financial 101 Tags: Tagged With: extra cash

The Best Way to Manage RSUs

May 25, 2021 by probizinfo

Many employees receive Restricted Stock Units (RSUs) as part of their regular compensation, which are shares of ownership (i.e. stock) in the employer’s company. If you’re one of these employees, you have to decide when to sell your RSUs.  How RSUs compensation works  RSUs are awarded at a regular time, such as during an annual […]

Categories: Filed Under: Financial 101 Tags: Tagged With: financial management

Look Out for Broker Dealer Audit Deficiencies in These Areas

May 19, 2021 by probizinfo

Every year, the Public Company Accounting Oversight Board (PCAOB) releases a report of broker dealer audit findings under its interim inspection program. For nine years in a row, the report indicated a high level of broker dealer audit deficiencies in certain areas of engagement performance. The importance of the PCAOB’s oversight The PCAOB exists to […]

Categories: Filed Under: broker dealer audit, Financial 101 Tags: Tagged With: broker dealer audit

It’s Easy to Prepare for a Successful Broker Dealer Audit

March 5, 2021 by probizinfo

Your broker dealer audit is easy to prepare for if it’s treated as a work-in-progress throughout your company’s fiscal year. Viewing it as an ongoing project requires your business to stay compliant with current guidelines and regulations. This means implementing new measures as they come, reducing large scale interruptions to your business.  Part of preparing […]

Categories: Filed Under: broker dealer audit, Financial 101 Tags: Tagged With: broker dealer audit

A Quick Guide to Your First Broker Dealer Audit

January 12, 2021 by probizinfo

The requirements for broker dealer audits exist to protect investors from unregulated activity. Though broker dealers are expected to conduct their own internal investigations, external entities agencies are necessary for objectivity. Once a year, investment advisory and venture capital firms that are registered with the Public Company Accounting Oversight Board (PCAOB) must audit their broker […]

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Working with another nonprofit? Here’s how to divide up financial reporting.

August 17, 2020 by probizinfo

Sometimes, nonprofit organizations will work with other companies to accomplish things better together. With these arrangements, both companies can save money and do their job more efficiently. Working with other companies is often a great idea, but it is critical that your accounting departments know how to accurately report these collaborations to the government. Reporting […]

Categories: Filed Under: California nonprofit audit, Financial 101 Tags:

Failed to file your Form 990s? Here’s how your nonprofit can regain tax-exempt status

July 9, 2020 by probizinfo

Not-for-profit companies must stay up to date on filing form 990 or 990-N with the IRS in order to maintain tax-exempt status. If at all possible, it’s best to avoid losing tax-exempt status in the first place, because failing to uphold California nonprofit audit compliance requirements means your company may be subject to corporate taxes […]

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Thoughts on Finding a New Executive for Your Nonprofit

June 4, 2020 by probizinfo

One of the things we talk to businesses that use our nonprofit audit services is the necessity of planning ahead for an executive search. Although your company might not be concerned about the immediate loss of your executive, knowing how you will find the next one in advance is advantageous. That’s because it normally takes […]

Categories: Filed Under: Financial 101, nonprofit audit services Tags:

Strategic planning: Not exclusively a vision of the future

April 16, 2020 by probizinfo

As a complement to our California nonprofit audit services, we help companies with strategic planning. This term makes most people think of long-term planning, but there’s another approach to consider as well. Real-Time Strategic Planning (RTSP) allows your nonprofit more flexibility when looking to the future. Opportunities and challenges can present themselves at any time, […]

Categories: Filed Under: Financial 101, nonprofit audit services Tags:

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