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The broker-dealer industry continues to undergo significant changes, which add challenges for broker-dealers assessing their operations and internal controls for regulatory considerations.
This 2015 edition gives you the up-to-date regulatory requirements you need to be able to tailor your operations to the most current standards and regulations. It includes best practices for industry-specific issues such as fair value accounting and related disclosures. Plus, it provides practical resources such as a new illustrative sample Compliance Report and a sample Exemption Report.
From new best practices to interpretive guidance to hands-on tools to help with application of the standards, this guide has you covered.
Who Will Benefit: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.