Brokers and Dealers in Securities

Brokers and Dealers in Securities PDF Author: American Institute of Certified Public Accountants. Stockbrokerage and Investment Banking Committee
Publisher:
ISBN:
Category : Securities industry
Languages : en
Pages : 404

Get Book Here

Book Description

Accounting Guide

Accounting Guide PDF Author: AICPA
Publisher: John Wiley & Sons
ISBN: 1948306662
Category : Business & Economics
Languages : en
Pages : 464

Get Book Here

Book Description
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.

Brokers and Dealers in Securities

Brokers and Dealers in Securities PDF Author: American Institute of Certified Public Accountants. Banking and Savings Institutions Committee
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 280

Get Book Here

Book Description

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers

Investor and Industry Perspectives on Investment Advisers and Broker-Dealers PDF Author: Angela A. Hung
Publisher: Rand Corporation
ISBN: 0833045016
Category : Law
Languages : en
Pages : 151

Get Book Here

Book Description
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.

U.S. Regulation of the International Securities and Derivatives Markets

U.S. Regulation of the International Securities and Derivatives Markets PDF Author:
Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254

Get Book Here

Book Description

CCH Accounting Articles

CCH Accounting Articles PDF Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 1328

Get Book Here

Book Description

Federal Broker-Dealer Insurance Corporation, Hearings Before the Subcommittee on Securities of ..., 91-2 on S.2348, S.3988, and S.2989 ..., April 16 and 17, June 18, July 16, 1970

Federal Broker-Dealer Insurance Corporation, Hearings Before the Subcommittee on Securities of ..., 91-2 on S.2348, S.3988, and S.2989 ..., April 16 and 17, June 18, July 16, 1970 PDF Author: United States. Congress. Senate. Banking and Currency Committee
Publisher:
ISBN:
Category :
Languages : en
Pages : 336

Get Book Here

Book Description

The Federal Reserve Act (approved December 23, 1913) as Amended

The Federal Reserve Act (approved December 23, 1913) as Amended PDF Author: United States
Publisher:
ISBN:
Category : Banking law
Languages : en
Pages : 114

Get Book Here

Book Description

AICPA Technical Practice Aids

AICPA Technical Practice Aids PDF Author:
Publisher:
ISBN:
Category : Accounting
Languages : en
Pages : 1248

Get Book Here

Book Description

Accounting Articles

Accounting Articles PDF Author: Commerce Clearing House
Publisher:
ISBN:
Category : Accounting
Languages : en
Pages : 1382

Get Book Here

Book Description