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In The Matter Of Edwin Aronowitz, Silver Spring, Md.: Order, United States. Securities And Exchange Commission
In The Matter Of Edwin Aronowitz, Silver Spring, Md.: Order, United States. Securities And Exchange Commission
Federal Publications
On the basis of information furnished to the Commission, it appears to the Commission that there may have been a lack of adherence to generally accepted auditing standards and the Commission's minimum audit requirements by Edwin Aronowitz, a public accountant, in connection with the preparation and submission to the Commission of certain financial statements required by Rule 240.17a-5.
Net Capital Requirements For Brokers And Dealers -- Interpretation And Guide, United States. Securities And Exchange Commission
Net Capital Requirements For Brokers And Dealers -- Interpretation And Guide, United States. Securities And Exchange Commission
Federal Publications
The Securities and Exchange Commission today released the following staff interpretation of, and guide to computations under, its "net capital" Rule 15c3-l under the Securities Exchange Act of 1934 (the "Act"). 1/ This material, which was prepared jointly by the Commission's Division of Trading and Markets (the "Division") and Office of Chief Accountant, is intended to assist brokers and dealers in complying with Rule 15e3-1. This release is divided into two parts. Part I explains the operation of Rule 15c3-l, including the exemptions therefrom, and discusses the application of the rule with respect to questions frequently presented to the Division …
In The Matter Of Nicolas J. Raftery, A Certified Publc Accountant: Order, United States. Securities And Exchange Commission
In The Matter Of Nicolas J. Raftery, A Certified Publc Accountant: Order, United States. Securities And Exchange Commission
Federal Publications
On the basis of information furnished to the Commission in a nonpublic investigative proceeding, the Commission has reason to believe that there may have been a lack of adherence to generally accepted auditing standards and its minimum audit requirements by Nicolas J. Raftery, a certified public accountant, in connection with the preparation and submission to the Commission of certain financial statements in accordance with the requirements of Rule 240.17a-5.