Guide to Broker-dealer Compliance
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
Published: 1974
Total Pages: 318
ISBN-13:
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Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
Published: 1974
Total Pages: 318
ISBN-13:
DOWNLOAD EBOOKAuthor: James A. Fanto
Publisher: Edward Elgar Publishing
Published: 2023-01-20
Total Pages: 223
ISBN-13: 1800889577
DOWNLOAD EBOOKBroker-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: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
Published: 1974*
Total Pages: 275
ISBN-13:
DOWNLOAD EBOOKAuthor: United States. Securities and Exchange Commission
Publisher:
Published: 1974
Total Pages: 272
ISBN-13:
DOWNLOAD EBOOKAuthor: Steven Lofchie
Publisher:
Published: 2000-10-01
Total Pages: 808
ISBN-13: 9780970106711
DOWNLOAD EBOOKAuthor: Clifford E. Kirsch
Publisher:
Published: 2006
Total Pages: 0
ISBN-13: 9781402407710
DOWNLOAD EBOOKInvestment 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: Allan H. Pessin
Publisher: Irwin Professional Publishing
Published: 1990
Total Pages: 488
ISBN-13:
DOWNLOAD EBOOKAuthor: AICPA
Publisher: John Wiley & Sons
Published: 2019-11-19
Total Pages: 464
ISBN-13: 1948306662
DOWNLOAD EBOOKIt 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: O'Malley, Walsh
Publisher: Wolters Kluwer
Published: 2019-06-18
Total Pages: 990
ISBN-13: 1543812562
DOWNLOAD EBOOKInvestment Adviser's Legal and Compliance Guide
Author: Margaret A. Sheehan
Publisher: CCH Incorporated
Published: 2009-07
Total Pages: 400
ISBN-13: 9780808022077
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