Audits Of Brokers And Dealers In Securities
Download Audits Of Brokers And Dealers In Securities full books in PDF, epub, and Kindle. Read online free Audits Of Brokers And Dealers In Securities ebook anywhere anytime directly on your device. Fast Download speed and no annoying ads. We cannot guarantee that every ebooks is available!
Accounting Guide
| Author | : AICPA |
| Publisher | : John Wiley & Sons |
| Total Pages | : 464 |
| Release | : 2019-11-19 |
| Genre | : Business & Economics |
| ISBN | : 1948306662 |
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.
Audits of Brokers and Dealers in Securities
| Author | : American Institute of Certified Public Accountants. Stockbrokerage Auditing Subcommittee |
| Publisher | : |
| Total Pages | : 244 |
| Release | : 1985 |
| Genre | : Securities industry |
| ISBN | : |
Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
| Author | : Angela A. Hung |
| Publisher | : Rand Corporation |
| Total Pages | : 151 |
| Release | : 2008-03-12 |
| Genre | : Law |
| ISBN | : 0833045016 |
In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.
Audits of Brokers and Dealers in Securities
| Author | : American Institute of Certified Public Accountants. Committee on Stockbrokerage Auditing |
| Publisher | : |
| Total Pages | : 256 |
| Release | : 1987 |
| Genre | : Brokers |
| ISBN | : |
U.S. Regulation of the International Securities and Derivatives Markets
| Author | : |
| Publisher | : Aspen Law & Business Publishers |
| Total Pages | : 254 |
| Release | : 2002 |
| Genre | : Business & Economics |
| ISBN | : |
Audits of Brokers and Dealers in Securities
| Author | : American Institute of Certified Public Accountants. Stockbrokerage Auditing Subcommittee |
| Publisher | : American Institute of Certified Public Accountants (AICPA) |
| Total Pages | : 220 |
| Release | : 1989 |
| Genre | : Business & Economics |
| ISBN | : |
Government Securities Act of 1986
| Author | : United States |
| Publisher | : |
| Total Pages | : 16 |
| Release | : 1987 |
| Genre | : Government securities |
| ISBN | : |
Accounting Guide: Brokers and Dealers in Securities 2017
| Author | : AICPA. |
| Publisher | : John Wiley & Sons |
| Total Pages | : 400 |
| Release | : 2017-12-11 |
| Genre | : Business & Economics |
| ISBN | : 1945498323 |
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.
