Topic

Broker-Dealer Regulation

The body of SEC and FINRA rules governing firms that execute securities trades for clients or trade for their own account, covering net capital, custody of client assets, reporting and audit.

Current clusters

invest1 publisher

Hill and Cotton revive their 2018 bid to exempt brokerages under 150 staff from PCAOB audits

French Hill and Tom Cotton want broker-dealers with fewer than 150 employees and no custody of client assets out of the PCAOB audit regime that Dodd-Frank extended to every registered dealer in 2010.

Publishers:cpapracticeadvisor.com

Reality

Evidence58
Adoption18
Hype gap+12
Incentives72
Confidence55