Broker-dealer License Fees
Broker-dealer License Fees

Author: United States. Congress. House. Committee on Interstate and Foreign Commerce

Publisher:

Published: 1960

Total Pages: 76

ISBN-13:

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Considers 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
SEC Docket

Author: United States. Securities and Exchange Commission

Publisher:

Published: 1994

Total Pages: 1018

ISBN-13:

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Accounting Guide: Brokers and Dealers in Securities 2017
Accounting Guide: Brokers and Dealers in Securities 2017

Author: AICPA

Publisher: John Wiley & Sons

Published: 2017-11-17

Total Pages: 404

ISBN-13: 1119487102

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The 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.