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Slide Presentation (PDF): AICPA/SIFMA FMS National Conference on the Securities Industry 2013

spch102413bc.pdf (165.95 KB)

Slide Presentation by Brian T. Croteau, Deputy Chief Accountant
AICPA/SIFMA FMS National Conference on the Securities Industry 2013
Broker-Dealer Rulemaking and Applicability of Auditor Independence Rules to Broker-Dealer Audits

Rules & Regulations

Enforcement & Litigation

Compliance

Slide Presentation (PDF): AICPA/SIFMA FMS National Conference on the Securities Industry 2013

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Slide Presentation (PDF): AICPA/SIFMA FMS National Conference on the Securities Industry 2013