February 9, 2010
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Home
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Accounting Standards
> Industry Expert Panels - Stockbrokerage and Investment Banking
Industry Expert Panels - Stockbrokerage and Investment Banking
An illustrative example of an independent accountants’ report on applying agreed-upon procedures related to the entity’s SIPC transitional assessment reconciliation
- revised as of 11/06/09
Meeting Highlights
Links to Industry Regulators
SEC - Division of Trading and Markets
Financial Industry Regulatory Authority (FINRA)
Filing annual reports under SEC Rule 17a-5
CFTC
- Commodity Futures Trading Commission
Links to Industry Associations
SIFMA
- The Securities Industry and Financial Markets Association
Stockbrokerage and Investment Banking Expert Panel Members and Staff List
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