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Keywords: Auditing
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (4): 18–24.
Published: 23 November 2012
... Financial Industry Regulatory Authority National market system plan Consolidated audit trail Central repository Auditing Archives On July 11, 2012, the US Securities and Exchange Commission (SEC) issued a release adopting new Rule 613 under the Securities Exchange Act of 1934 (Exchange Act...
Journal Articles
Thomas J. Friedmann, Anthony H. Zacharski, Margaret A. Bancroft, Roger Mulvihill, Susan A. Reading, Robert J. Williams, Alan Rosenblat
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2008) 9 (4): 13–17.
Published: 21 November 2008
...Thomas J. Friedmann; Anthony H. Zacharski; Margaret A. Bancroft; Roger Mulvihill; Susan A. Reading; Robert J. Williams; Alan Rosenblat Purpose The purpose of this paper is to summarize and analyze the SEC's July 9, 2008 roundtable discussion regarding fair value accounting and auditing standards...
