Guide to Broker-dealer Compliance PDF Download

Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318

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Book Description

Author: James A. Fanto
Publisher: Edward Elgar Publishing
ISBN: 1800889577
Category : Law
Languages : en
Pages : 223

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Book Description
Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.

Author: Allan H. Pessin
Publisher: Irwin Professional Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 488

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Book Description

Author: Steven Lofchie
Publisher:
ISBN: 9780970106711
Category : Brokers
Languages : en
Pages : 808

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Book Description

Author: Clifford E. Kirsch
Publisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0

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Book Description
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.

Author: AICPA
Publisher: John Wiley & Sons
ISBN: 1948306662
Category : Business & Economics
Languages : en
Pages : 464

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Book Description
It is critical to understand the complexities of the specialized accounting and regulatory requirements needed for the broker-dealer industry. This comprehensive guide has been designed to be beneficial for a wide range of professionals within the broker-dealer industry. Updates to this edition are to conform the content to current accounting standards and regulatory requirements. The updates include: SEC Release No. 34-86073, Amendment to Single Issuer Exemption for Broker-Dealers; ASU No. 2018-09, Codification Improvements; and, SEC Release Nos. 33-10532; 34-83875; IC-33203, Disclosure Update and Simplification. In addition, this edition features a new example disclosure note for revenue from contracts with customers, which has been added to the guide's illustrative financial statements and footnote disclosures.

Author: AICPA
Publisher: John Wiley & Sons
ISBN: 1945498994
Category : Business & Economics
Languages : en
Pages : 464

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Book Description
An industry-specific accounting guide for brokers and dealers The Accounting Guide: Brokers and Dealers in Securities 2018 is provided by the American Institute of Certified Public Accountants. It details specialized accounting and regulatory requirements for the broker-dealer industry. Detailed chapters provide comprehensive examinations of timely subjects. For example, the chapter on the securities industry covers discount brokers, investment bankers, government securities dealers, clearing brokers, and other professions. Additional chapters cover: regulatory consideration, internal control, accounting standards, and financial statement considerations. Broker-dealers gain guidance in financial statement preparation while following the best practices and accounting principles outlined.

Author: O'Malley, Walsh
Publisher: Wolters Kluwer
ISBN: 1543812562
Category : Law
Languages : en
Pages : 990

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Book Description
Investment Adviser's Legal and Compliance Guide

Author: Margaret A. Sheehan
Publisher: CCH Incorporated
ISBN: 9780808022077
Category : Stockbrokers
Languages : en
Pages : 400

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Book Description

Author: Sheldon M. Jaffe
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 472

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Book Description