Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
Book Description
Guide to Broker-dealer Compliance
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
Book Description
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
Book Description
Broker-Dealer Compliance
Author: James A. Fanto
Publisher: Edward Elgar Publishing
ISBN: 1800889577
Category : Law
Languages : en
Pages : 223
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.
Publisher: Edward Elgar Publishing
ISBN: 1800889577
Category : Law
Languages : en
Pages : 223
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.
Guide to Broker-dealer Compliance
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 272
Book Description
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 272
Book Description
Guide to Broker-dealer Compliance
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 275
Book Description
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 275
Book Description
A Guide to Broker-Dealer Regulation
Author: Steven Lofchie
Publisher:
ISBN: 9780970106711
Category : Brokers
Languages : en
Pages : 808
Book Description
Publisher:
ISBN: 9780970106711
Category : Brokers
Languages : en
Pages : 808
Book Description
Securities Law Compliance
Author: Allan H. Pessin
Publisher: Irwin Professional Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 488
Book Description
Publisher: Irwin Professional Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 488
Book Description
Investment Adviser Regulation
Author: Clifford E. Kirsch
Publisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0
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.
Publisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0
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.
Accounting Guide
Author: AICPA
Publisher: John Wiley & Sons
ISBN: 1948306662
Category : Business & Economics
Languages : en
Pages : 464
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.
Publisher: John Wiley & Sons
ISBN: 1948306662
Category : Business & Economics
Languages : en
Pages : 464
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.
Investment Adviser's Legal and Compliance Guide, 3rd Edition
Author: O'Malley, Walsh
Publisher: Wolters Kluwer
ISBN: 1543812562
Category : Law
Languages : en
Pages : 990
Book Description
Investment Adviser's Legal and Compliance Guide
Publisher: Wolters Kluwer
ISBN: 1543812562
Category : Law
Languages : en
Pages : 990
Book Description
Investment Adviser's Legal and Compliance Guide
Practical Guide to Broker-Dealer Regulation
Author: Margaret A. Sheehan
Publisher: CCH Incorporated
ISBN: 9780808022077
Category : Stockbrokers
Languages : en
Pages : 400
Book Description
Publisher: CCH Incorporated
ISBN: 9780808022077
Category : Stockbrokers
Languages : en
Pages : 400
Book Description