Guide to Broker-dealer Compliance
| Author | : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee |
| Publisher | : |
| Total Pages | : 318 |
| Release | : 1974 |
| Genre | : Securities |
| ISBN | : |
Guide To Broker Dealer Compliance
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Broker-Dealer Compliance
| Author | : James A. Fanto |
| Publisher | : Edward Elgar Publishing |
| Total Pages | : 223 |
| Release | : 2023-01-20 |
| Genre | : Law |
| ISBN | : 1800889577 |
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. Broker-Dealer Model Compliance Program Advisory Committee |
| Publisher | : |
| Total Pages | : 275 |
| Release | : 1974* |
| Genre | : Brokers |
| ISBN | : |
Guide to Broker-dealer Compliance
| Author | : United States. Securities and Exchange Commission |
| Publisher | : |
| Total Pages | : 272 |
| Release | : 1974 |
| Genre | : Securities |
| ISBN | : |
A Guide to Broker-Dealer Regulation
| Author | : Steven Lofchie |
| Publisher | : |
| Total Pages | : 808 |
| Release | : 2000-10-01 |
| Genre | : Brokers |
| ISBN | : 9780970106711 |
Securities Law Compliance
| Author | : Allan H. Pessin |
| Publisher | : Irwin Professional Publishing |
| Total Pages | : 488 |
| Release | : 1990 |
| Genre | : Business & Economics |
| ISBN | : |
Investment Adviser Regulation
| Author | : Clifford E. Kirsch |
| Publisher | : |
| Total Pages | : 0 |
| Release | : 2006 |
| Genre | : Business & Economics |
| ISBN | : 9781402407710 |
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 |
| 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.
Investment Adviser's Legal and Compliance Guide, 3rd Edition
| Author | : O'Malley, Walsh |
| Publisher | : Wolters Kluwer |
| Total Pages | : 990 |
| Release | : 2019-06-18 |
| Genre | : Law |
| ISBN | : 1543812562 |
Investment Adviser's Legal and Compliance Guide
Practical Guide to Broker-Dealer Regulation
| Author | : Margaret A. Sheehan |
| Publisher | : CCH Incorporated |
| Total Pages | : 400 |
| Release | : 2009-07 |
| Genre | : Stockbrokers |
| ISBN | : 9780808022077 |
