Don't Forget: Broker-Dealer Annual Audit Requirements

In a letter to the AICPA?s Stockbrokerage and Investment Banking Expert Panel, the Securities and Exchange Commission outlined the existing requirements that apply when conducting the ?review of the accounting system, the internal accounting control and procedures for safeguarding securities.?

Source: http://feedproxy.google.com/~r/AICPA_Newsroom/~3/6TwvHrr3O_I/BDAnnualAuditRequirements.aspx

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