Auditor Reporting and Regulatory Sanctions in the Broker‐Dealer Industry: From Self‐Regulation to PCAOB Oversight
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DOI: 10.1111/1911-3846.12473
Abstract: The financial security of the investing public relies on high quality service by broker-dealers (BDs), investors’ gateway to the financial markets. The Securities and Exchange Commission (SEC) has long required auditors to attest to BDs’… read more here.
Keywords: quality; industry; broker; reporting quality ... See more keywords