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Author : Gary Gould
Publisher :
ISBN 13 :
Total Pages : 68 pages
Book Rating : 4.F/5 ( download)
Download or read book Computer Audits of Brokers and Dealers in Securities written by Gary Gould and published by . This book was released on 1972 with total page 68 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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 : 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 : 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 : American Institute of Certified Public Accountants. Auditing Standards Division
Publisher :
ISBN 13 :
Total Pages : 16 pages
Book Rating : 4.3/5 (512 download)
Download or read book Securities Industry Developments ... written by American Institute of Certified Public Accountants. Auditing Standards Division and published by . This book was released on 1991 with total page 16 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 : American Institute of Certified Public Accountants. Stockbrokerage Auditing Subcommittee
Publisher :
ISBN 13 :
Total Pages : 192 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 . This book was released on 1994 with total page 192 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : American Institute of Certified Public Accountants. Banking and Savings Institutions Committee
Publisher :
ISBN 13 :
Total Pages : 280 pages
Book Rating : 4.3/5 (512 download)
Download or read book Brokers and Dealers in Securities written by American Institute of Certified Public Accountants. Banking and Savings Institutions Committee and published by . This book was released on 1998 with total page 280 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : American Institute of Certified Public Accountants. Committee on Auditing Procedure
Publisher :
ISBN 13 :
Total Pages : 80 pages
Book Rating : 4.3/5 (512 download)
Download or read book Audits of Brokers Or Dealers in Securities by Independent Certified Public Accountants written by American Institute of Certified Public Accountants. Committee on Auditing Procedure and published by . This book was released on 1956 with total page 80 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations
Publisher :
ISBN 13 :
Total Pages : 134 pages
Book Rating : 4.3/5 (91 download)
Download or read book Inspection Report on the Soft Dollar Practices of Broker-dealers, Investment Advisers and Mutual Funds written by United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations and published by . This book was released on 1998 with total page 134 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 :
Publisher :
ISBN 13 :
Total Pages : 132 pages
Book Rating : 4.3/5 ( download)
Download or read book Securities Industry Developments written by and published by . This book was released on 2007 with total page 132 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher :
ISBN 13 :
Total Pages : 318 pages
Book Rating : 4.3/5 (243 download)
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 : 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 : Allan H. Pessin
Publisher : Irwin Professional Publishing
ISBN 13 :
Total Pages : 488 pages
Book Rating : 4.3/5 (512 download)
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 : Commerce Clearing House
Publisher :
ISBN 13 :
Total Pages : 1382 pages
Book Rating : 4.3/5 (512 download)
Download or read book Accounting Articles written by Commerce Clearing House and published by . This book was released on 1975 with total page 1382 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : James Hamilton
Publisher :
ISBN 13 :
Total Pages : 144 pages
Book Rating : 4.F/5 ( download)
Download or read book Year 2000 written by James Hamilton and published by . This book was released on 1998 with total page 144 pages. Available in PDF, EPUB and Kindle. Book excerpt:
