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DFP Partners’ Janice Parise Elected to FINRA’s Small Firm Advisory Committee


We are pleased to announce that Janice Parise, CPA and Partner at DFP Partners has been elected to FINRA’s Small Firm Advisory Committee (SFAC).

The SFAC is composed of ten senior executives from small firms across the country. It exists to ensure that issues of interest and concern for small firms are effectively communicated to and considered by FINRA. The SFAC also meets to discuss current regulations, policy changes, and various industry matters that impact the broker dealer community.

Ms. Parise will be the committee member representing the New York Region – the counties of Nassau and Suffolk, and the Bronx, Brooklyn, New York County, Queens and Staten Island. She will begin her term on January 1, 2023, and serve for three years. Ms. Parise has been a member of the DFP team for 12 years, and given her extensive history working with small firms, alongside her passion for this sector of the industry and experience serving on FINRA committees, she looks forward to being an advocate for the small firms which account for over 80% of FINRA’s membership. She will strive to make sure their voices are heard and unique needs are addressed.

For over 40 years, DFP Partners has been a committed partner in financial accounting and compliance to Broker-Dealers and Registered Investment Advisers. During that time we have built a dynamic team who are dedicated to bringing exceptional energy and imagination to each of our client’s challenges. Ms. Parise’s role on the SFAC, and her position as a voice for small firms within FINRA, will be an incredible asset, and instrumental in our continued success and ability to help clients adapt to the intricacies of securities regulation.

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