Public Companies (SEC)

Freed Maxick & Battaglia has built a respected and successful SEC practice based on years of experience auditing public companies in New York State that have a wide variety of public and private capital transactions.

Our SEC professionals are members of key professional organizations. As a result, we have good relationships with the SEC, the FASB and other rule-making bodies. We’re a member of the SEC Practice Section of the AICPA and the Public Company Accounting Oversight Board (PCAOB), which qualifies us to provide attest services to public companies.  These relationships allow us to provide quick assistance on complex or unusual transactions. We also go through a rigorous peer review every three years to ensure the quality of our work is in accordance with our professional standards.  Our most recent peer review was an unqualified opinion with no letter of comments, a rating that less than 15% of all firms obtain. 

Additionally, we have the depth of resources and SEC experience to meet rotational requirements of the SEC with appropriate lead and second partners as well as technical reviewers.

SEC Services

We have a long-standing reputation for the delivery of quality SEC services. Our firm has been very successful in helping SEC clients manage their public-company risks. We're focused on mid-sized businesses and can provide efficient, cost-effective services for you.

Our involvement can include:

• Assisting towards Sarbanes-Oxley compliance     
• Reviews of quarterly financial statements    
• Audit of year-end financial statements for 10-K filing
• Audits specifically designed for mid-sized and emerging-growth companies with consideration for their controls, systems and personnel   
• Keeping our clients informed of the latest SEC developments  
• Active involvement with audit committees to ensure their involvement throughout the audit process
• FAS 109

Our Approach to Public Companies

We also understand that, even though your company may now be public, it may also still be closely held because its founder owns a big portion of its stock. The majority of our clients are closely held businesses, so we know your concerns and understand your business.

Our audit approach is designed to minimize business and audit risk associated with the audit process of public entities through:

• Client acceptance policies designed to seek out relationships with company management who have a high degree of integrity and competence, and where there is a balance between the likelihood that the business will succeed and the risk assumed by the investors   
• Audit engagements staffed with the proper level of experience to handle the complexity of the client engagement   
• Planning to ensure the timely identification of key business and accounting issues and audit strategies   
• The involvement of concurring partners who are not on the engagement team, to objectively review the working papers and financial statements before they are finalized

How You Will Benefit

Ongoing reporting is a legal requirement for your business, but by working with Freed Maxick & Battaglia, you're gaining the collective knowledge and experience of all of our staff. So, even if you're inexperienced in the realm of public reporting, you'll have the security of more than 45 years of audit experience backing you up. 

Contact Our SEC Team:

Send Request for Proposals to:

Freed Maxick & Battaglia, CPAs    Attn: Eric Majchrzak    424 Main Street    Liberty Building, Suite 800    Buffalo, NY 14202    or send via email here

Members of Freed Maxick & Battaglia's team of SEC Professionals possess a significant amount of experience with SEC and PCAOB reporting requirements. We meet the rotational requirements of the SEC with appropriate lead and second partners as well as technical reviewers. Additionally, Freed Maxick delivers a wide range of consulting services to public companies. Freed Maxick & Battaglia, CPAs is Western and Upstate New York's (NY) largest public accounting firm and a Top 100 firm in the U.S. Freed Maxick provides, audit, tax and consulting services to private and public (SEC) companies in Buffalo, Rochester, Syracuse and Albany New York. Affiliated with RSM McGladrey, the 5th largest accounting firm in the U.S., Freed Maxick has vast national and international resources to help your business expand nationally and internationally.

Contact us Via the Web or Toll Free: 1-800-777-4885

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