Brokers and Dealers Fees Under Securities and Exchange Commission
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
Published: 1952
Total Pages: 128
ISBN-13:
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Brokers and Dealers Fees Under Securities and Exchange Commission. Hearings ... 82-2
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. 260:
Publisher:
Published: 1952
Total Pages: 130
ISBN-13:
DOWNLOAD EBOOKSecurities Exchange Act of 1934 Release
Author: United States. Securities and Exchange Commission
Publisher:
Published: 1962
Total Pages: 868
ISBN-13:
DOWNLOAD EBOOKBroker-Dealer License Fees
Author: United States. Congress. House. Subcommittee of the Interstate and Foreign Commerce
Publisher:
Published: 1960
Total Pages: 132
ISBN-13:
DOWNLOAD EBOOKBroker-dealer License Fees
Author: United States. Congress. House. Committee on Interstate and Foreign Commerce
Publisher:
Published: 1960
Total Pages: 76
ISBN-13:
DOWNLOAD EBOOKConsiders H.R. 6294, to amend the Securities Exchange Act of 1934 to raise security exchange registration fees, and to impose annual registration fees on registered broker-dealers.
SEC Docket
Author: United States. Securities and Exchange Commission
Publisher:
Published: 1994
Total Pages: 1018
ISBN-13:
DOWNLOAD EBOOKAccounting Guide: Brokers and Dealers in Securities 2017
Author: AICPA
Publisher: John Wiley & Sons
Published: 2017-11-17
Total Pages: 404
ISBN-13: 1119487102
DOWNLOAD EBOOKThe 2017 edition gives up-to-date industry-specific guidance needed to be able to tailor operations with the most current standards and regulations. Included are new best practices and interpretive guidance to industry-specific considerations, this guide has you covered. This edition offers “best practice” discussion of industry-specific issues such as fair value accounting and related disclosures, as well as compliance with regulatory requirements. Further, new guidance on initial margin has been approved in accordance with applicable AICPA requirements.
United States code
Author: United States
Publisher: Government Printing Office
Published: 1999
Total Pages: 1308
ISBN-13:
DOWNLOAD EBOOKBroker Dealer Operations Under Securities and Commodities Law
Author: Jerry W. Markham
Publisher:
Published: 1998-01-12
Total Pages:
ISBN-13: 9780420611307
DOWNLOAD EBOOKThis work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
