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Author :
Publisher :
ISBN 13 :
Total Pages : 380 pages
Book Rating : 4.3/5 (97 download)
Download or read book Audits of Property and Liability Insurance Companies written by and published by . This book was released on 2000 with total page 380 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : AICPA
Publisher : John Wiley & Sons
ISBN 13 : 1948306662
Total Pages : 464 pages
Book Rating : 4.9/5 (483 download)
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 : American Institute of Certified Public Accountants. Stockbrokerage Auditing Subcommittee
Publisher :
ISBN 13 :
Total Pages : 244 pages
Book Rating : 4.:/5 (2 download)
Download or read book Audits of Brokers and Dealers in Securities written by American Institute of Certified Public Accountants. Stockbrokerage Auditing Subcommittee and published by . This book was released on 1985 with total page 244 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Angela A. Hung
Publisher : Rand Corporation
ISBN 13 : 0833045016
Total Pages : 151 pages
Book Rating : 4.8/5 (33 download)
Download or read book Investor and Industry Perspectives on Investment Advisers and Broker-Dealers written by Angela A. Hung and published by Rand Corporation. This book was released on 2008-03-12 with total page 151 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Author : American Institute of Certified Public Accountants. Committee on Stockbrokerage Auditing
Publisher :
ISBN 13 :
Total Pages : 256 pages
Book Rating : 4.3/5 (512 download)
Download or read book Audits of Brokers and Dealers in Securities written by American Institute of Certified Public Accountants. Committee on Stockbrokerage Auditing and published by . This book was released on 1987 with total page 256 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher : Aspen Law & Business Publishers
ISBN 13 :
Total Pages : 254 pages
Book Rating : 4.F/5 ( download)
Download or read book U.S. Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : American Institute of Certified Public Accountants. Stockbrokerage Auditing Subcommittee
Publisher : American Institute of Certified Public Accountants (AICPA)
ISBN 13 :
Total Pages : 220 pages
Book Rating : 4.3/5 (512 download)
Download or read book Audits of Brokers and Dealers in Securities written by American Institute of Certified Public Accountants. Stockbrokerage Auditing Subcommittee and published by American Institute of Certified Public Accountants (AICPA). This book was released on 1989 with total page 220 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 204 pages
Book Rating : 4.X/5 (1 download)
Download or read book Audits of Brokers and Dealers in Securities written by and published by . This book was released on 1985 with total page 204 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States
Publisher :
ISBN 13 :
Total Pages : 16 pages
Book Rating : 4.3/5 (121 download)
Download or read book Government Securities Act of 1986 written by United States and published by . This book was released on 1987 with total page 16 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : AICPA.
Publisher : John Wiley & Sons
ISBN 13 : 1945498323
Total Pages : 400 pages
Book Rating : 4.9/5 (454 download)
Download or read book Accounting Guide: Brokers and Dealers in Securities 2017 written by AICPA. and published by John Wiley & Sons. This book was released on 2017-12-11 with total page 400 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Author : American Institute of Accountants. Committee on Auditing Procedure
Publisher :
ISBN 13 :
Total Pages : 84 pages
Book Rating : 4.:/5 (318 download)
Download or read book Audits of Brokers Or Dealers in Securities by Independent Certified Public Accountants written by American Institute of Accountants. Committee on Auditing Procedure and published by . This book was released on 1956 with total page 84 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Girard Miller
Publisher :
ISBN 13 :
Total Pages : 392 pages
Book Rating : 4.3/5 (9 download)
Download or read book Investing Public Funds written by Girard Miller and published by . This book was released on 1986 with total page 392 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book CFTC Report written by and published by . This book was released on 1987 with total page 36 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : AICPA
Publisher : John Wiley & Sons
ISBN 13 : 1119608236
Total Pages : 1018 pages
Book Rating : 4.1/5 (196 download)
Download or read book Audit and Accounting Guide written by AICPA and published by John Wiley & Sons. This book was released on 2019-03-04 with total page 1018 pages. Available in PDF, EPUB and Kindle. Book excerpt: ASC 606, Revenue from Contracts with Customers, replaces almost all previously existing revenue recognition guidance, including industry-specific guidance. That means unprecedented changes, affecting virtually all industries and all size organizations. For preparers, this guide provides the comprehensive, reliable accounting implementation guidance you need to unravel the complexities of this new standard. For practitioners, it provides in-depth coverage of audit considerations, including controls, fraud, risk assessment, and planning and execution of the audit. Recent audit challenges are spotlighted to allow for planning in avoiding these new areas of concern. This guide includes 16 industry-specific chapters for the following industries: Aerospace and Defense, Airlines, Asset Management, Broker-Dealers, Construction Contractors, Depository Institutions, Gaming, Health Care, Hospitality, Insurance, Not-for-Profits, Oil and Gas, Power and Utility, Software, Telecommunications, and Timeshare.
Author : Thomas P. Lemke
Publisher :
ISBN 13 : 9780314832627
Total Pages : pages
Book Rating : 4.8/5 (326 download)
Download or read book Regulation of Investment Advisers written by Thomas P. Lemke and published by . This book was released on 2015 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : American Institute of Certified Public Accountants. Stockbrokerage and Investment Banking Committee
Publisher :
ISBN 13 :
Total Pages : 404 pages
Book Rating : 4.E/5 ( download)
Download or read book Brokers and Dealers in Securities written by American Institute of Certified Public Accountants. Stockbrokerage and Investment Banking Committee and published by . This book was released on 2010 with total page 404 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : The Law Library
Publisher : Independently Published
ISBN 13 : 9781794359147
Total Pages : 210 pages
Book Rating : 4.3/5 (591 download)
Download or read book Consolidated Audit Trail (Us Securities and Exchange Commission Regulation) (Sec) (2018 Edition) written by The Law Library and published by Independently Published. This book was released on 2019-01-18 with total page 210 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Law Library presents the complete text of the Consolidated Audit Trail (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission") is adopting Rule 613 under the Securities Exchange Act of 1934 ("Exchange Act" or "Act") to require national securities exchanges and national securities associations ("self-regulatory organizations" or "SROs") to submit a national market system ("NMS") plan to create, implement, and maintain a consolidated order tracking system, or consolidated audit trail, with respect to the trading of NMS securities, that would capture customer and order event information for orders in NMS securities, across all markets, from the time of order inception through routing, cancellation, modification, or execution. This ebook contains: - The complete text of the Consolidated Audit Trail (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
