Daniel A. Nathan

Daniel A. Nathan

Morrison & Foerster LLP

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PCAOB’s Report on Broker-Dealer Audit Deficiencies Points the Way for BDs to Improve Their Financial Reporting and Compliance

PCAOB’S MISSION - For two years, the Public Company Accounting Oversight Board (PCAOB) has been reviewing the work of auditors of broker-dealers, with a view to assessing their work and enabling the PCAOB to develop a...more

8/27/2013 - Audits Broker-Dealer Compliance GAAP PCAOB Reporting Requirements

SEC to Broker-Dealers: More Oversight, Fewer Madoffs?

The Securities and Exchange Commission (SEC) published a Final Rule last week amending certain annual reporting, audit, and notification requirements for broker-dealers in the broker-dealer reporting rule (Rule 17a-5) and the...more

8/8/2013 - Audits Bernie Madoff Broker-Dealer Dodd-Frank Fraud PCAOB SEC

FINRA Rule 4530 – Recent Revisions Remind Broker-Dealers of the Importance of the New Requirement to Report Internal Findings of...

FINRA recently amended Rule 4530 (Reporting Requirements) to make required reporting by member firms of certain regulatory and disciplinary events less burdensome. Those relatively minor changes will be discussed below. But...more

2/27/2013 - Audits Discipline Enforcement FINRA Reporting Requirements SEC Violative Conduct

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