Eric DeCoursey Partner Kansas City, MO 816.221.6300 Related Services Audit, Accounting, & Assurance Related Industries Financial Services
Alert Jul 21, 2020 Update on the Broker-Dealer Financial Reporting Rule The SEC has updated its frequently asked questions (FAQ) on its July 30, 2013, amendments to the broker-dealer financial reporting rule… Read More
Alert Feb 21, 2020 Introducing Broker-Dealers: Claiming Dual Exemption & Maintaining a Special Account Introducing broker-dealers that claimed an exemption from the customer protection rule throughout the fiscal year must file an exemption… Read More
