March 3, 2022 Stockbrokerage & Investment Banking Expert Panel minutes
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March 3, 2022 Stockbrokerage & Investment Banking Expert Panel minutes

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The following comments and observations were compiled by the AICPA Stockbrokerage and Investment Banking Expert Panel and AICPA staff and are not authoritative positions or interpretations issued by the SEC, FINRA or their staff. The comments and observations were not transcribed by the SEC or FINRA or their staff and have not been considered or acted upon by the SEC or FINRA or their staff. Accordingly, these comments and observations do not constitute a statement of the views of the SEC, FINRA or their staff.

During the March 2022 EP meeting, the Expert Panel members discussed certain considerations related to fractional share transactions with customers. Some broker-dealers offer their customers the ability to invest in fractions of shares.

Download the March 3, 2022 BD EP meeting highlights excerpt

File name: march-2022-mtg-fractional-shares-write-up.pdf

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