Jill Radloff

Jill Radloff

Stinson Leonard Street

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PCAOB Adopts Standards For Broker-Dealer Audits

The Public Company Accounting Oversight Board, or PCAOB, adopted two attestation standards pertaining to audits of brokers and dealers. The PCAOB also adopted an auditing standard applicable when auditors are engaged to...more

10/14/2013 - Audits Broker-Dealer PCAOB SEC

Accredited Crowdfunding, Internet Advertising And General Solicitation

The SEC recently granted two accredited crowdfunding sites exemptions from the broker-dealer rules because the type of carried interest (or close equivalent) used to compensate the site is not transaction based compensation. ...more

4/5/2013 - Accredited Investors Advertising Broker-Dealer Crowdfunding General Solicitation Lamp Technologie Inc SEC

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