Chief Accountant Office

The Chief Accountant Office is responsible for reviewing all securities offerings, assist in the review of broker-dealer and investment adviser application and registrant materials, and assist in the review of materials filed relating to the development of compliance and enforcement actions. The Chief Accountant Office initiates studies relating to accounting, auditing, taxes and finance, and how these areas may affect securities and broker-dealer and investment adviser filings.

The Chief Accountant Office also periodically issues regulatory releases, which provide guidance to those who file financial statements and other financial information with the Department of Banking and Securities.

Please Note: the address for securities-related mail and deliveries has changed to 17 North 2nd Street, Suite 1300, Harrisburg PA 17101-2290.

For issues or questions for the Chief Accountant Office, call 717.705.9328

Forms:
Surety Bond Form

 

Laws & Regulations
Releases