Guide To Broker Dealer Compliance

Author : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher :
ISBN 13 :
Total Pages : 318 pages
Book Rating : 4.13/5 ( download)

DOWNLOAD NOW!

Download or read book Guide to Broker-dealer Compliance written by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and published by . This book was released on 1974 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : James A. Fanto
Publisher : Edward Elgar Publishing
ISBN 13 : 1800889577
Total Pages : 223 pages
Book Rating : 4.76/5 ( download)

DOWNLOAD NOW!

Download or read book Broker-Dealer Compliance written by James A. Fanto and published by Edward Elgar Publishing. This book was released on 2023-01-20 with total page 223 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Author : Allan H. Pessin
Publisher : Irwin Professional Publishing
ISBN 13 :
Total Pages : 488 pages
Book Rating : 4.43/5 ( download)

DOWNLOAD NOW!

Download or read book Securities Law Compliance written by Allan H. Pessin and published by Irwin Professional Publishing. This book was released on 1990 with total page 488 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Steven Lofchie
Publisher :
ISBN 13 : 9780970106711
Total Pages : 808 pages
Book Rating : 4.18/5 ( download)

DOWNLOAD NOW!

Download or read book A Guide to Broker-Dealer Regulation written by Steven Lofchie and published by . This book was released on 2000-10-01 with total page 808 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Clifford E. Kirsch
Publisher :
ISBN 13 : 9781402407710
Total Pages : 0 pages
Book Rating : 4.18/5 ( download)

DOWNLOAD NOW!

Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Author : AICPA
Publisher : John Wiley & Sons
ISBN 13 : 1948306662
Total Pages : 464 pages
Book Rating : 4.69/5 ( download)

DOWNLOAD NOW!

Download or read book Accounting Guide written by AICPA and published by John Wiley & Sons. This book was released on 2019-11-19 with total page 464 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.

Author : AICPA
Publisher : John Wiley & Sons
ISBN 13 : 1945498994
Total Pages : 464 pages
Book Rating : 4.92/5 ( download)

DOWNLOAD NOW!

Download or read book Accounting Guide written by AICPA and published by John Wiley & Sons. This book was released on 2019-01-14 with total page 464 pages. Available in PDF, EPUB and Kindle. Book excerpt: An industry-specific accounting guide for brokers and dealers The Accounting Guide: Brokers and Dealers in Securities 2018 is provided by the American Institute of Certified Public Accountants. It details specialized accounting and regulatory requirements for the broker-dealer industry. Detailed chapters provide comprehensive examinations of timely subjects. For example, the chapter on the securities industry covers discount brokers, investment bankers, government securities dealers, clearing brokers, and other professions. Additional chapters cover: regulatory consideration, internal control, accounting standards, and financial statement considerations. Broker-dealers gain guidance in financial statement preparation while following the best practices and accounting principles outlined.

Author : O'Malley, Walsh
Publisher : Wolters Kluwer
ISBN 13 : 1543812562
Total Pages : 990 pages
Book Rating : 4.65/5 ( download)

DOWNLOAD NOW!

Download or read book Investment Adviser's Legal and Compliance Guide, 3rd Edition written by O'Malley, Walsh and published by Wolters Kluwer. This book was released on 2019-06-18 with total page 990 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide

Author : Margaret A. Sheehan
Publisher : CCH Incorporated
ISBN 13 : 9780808022077
Total Pages : 400 pages
Book Rating : 4.75/5 ( download)

DOWNLOAD NOW!

Download or read book Practical Guide to Broker-Dealer Regulation written by Margaret A. Sheehan and published by CCH Incorporated. This book was released on 2009-07 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Sheldon M. Jaffe
Publisher :
ISBN 13 :
Total Pages : 472 pages
Book Rating : 4.93/5 ( download)

DOWNLOAD NOW!

Download or read book Broker-dealers and Securities Markets written by Sheldon M. Jaffe and published by . This book was released on 1977 with total page 472 pages. Available in PDF, EPUB and Kindle. Book excerpt: