SEC Compliance Auditor

sec auditor Houston

M&K CPAS, PLLC, a premier Houston accounting and auditing firm, performs full-scale audits on SEC registrant companies. SEC registrants are publicly traded companies that must comply with all rules and regulations of the Securities and Exchange Commission (SEC). As an experienced accounting and audit firm, we are well versed in the laws, guidelines and regulations of the SEC, and are registered with the Public Company Accounting Oversight Board (PCAOB). Our team’s wealth of experience in SEC compliance and PCAOB matters lends peace of mind to valued clients, and our SEC specialists insist upon professionalism and attention to detail while conducting your SEC audit and reporting.

SEC Reporting Requirements

Public companies are subject to the rules of the SEC, the federal agency that upholds U.S. security regulations. SEC registrants are subject to public disclosure of the company’s financial information under the Securities Exchange Act of 1934. As a reputable SEC auditing firm, M&K CPAS, PLLC takes on the role of trusted independent agency for SEC registrants preparing their financial statements.

Our top-level accounting and auditing professionals walk you through the process of preparing for an audit, streamlining and simplifying each phase of the often confusing process. Regular filings are necessary to be SEC compliant, and our auditors will regularly work with your business to make all filings accurate and up-to-date. Some common SEC filings include:

  • Registration Statement
  • 10-K Report
  • 10-Q Report
  • 8-K Report
  • Proxy Statement
  • Form 144
  • & Many More

M&K CPAS, PLLC can help you accurately prepare all of the necessary forms, follow all procedures efficiently and ensure that your finances meet the SEC requirements.

SEC Audit Preparation

Our accountants are experts in the field of public company SEC audits. Our Houston based firm works to ensure that your SEC audit process flows smoothly and that you understand audit expectations and prepare necessary documents in advance. We recommend that businesses at a minimum gather the following financial documentation in preparation for their SEC audit:

  • Balance sheet detailing assets, liabilities and equity
  • Income statement
  • Detail of each balance sheet account
  • Documentation of all accounts, including those recently terminated
  • Product descriptions and current pricing and promotion
  • Agreements for all significant financial transactions

Providing this paperwork to your auditor paves the way to the start of an efficient audit by reducing time, resources and business costs.

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