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Disposition Of Rule Ii(E) Proceedings Against Certifying Accountant Alleged To Have Failed To Observe Appropriate Audit Requirements As To Financial Statements Of Broker-Dealer Under Rule X-17a-5 Under The Securities Exchange Act Of 1934, United States. Securities And Exchange Commission
Disposition Of Rule Ii(E) Proceedings Against Certifying Accountant Alleged To Have Failed To Observe Appropriate Audit Requirements As To Financial Statements Of Broker-Dealer Under Rule X-17a-5 Under The Securities Exchange Act Of 1934, United States. Securities And Exchange Commission
Federal Publications
The Securities and Exchange Commission today made public the following information concerning private proceedings instituted to determine whether, pursuant to Rule II(e) of the Commission's Rules of Practice, a certified public accountant should be temporarily or permanently denied the privilege of practicing before the Commission. The accountant in question had certified financial statements of a registered broker-dealer filed pursuant to the requirements of Rule X-17A-5, adopted under Section 17(a) of the Securities Exchange Act of 1934.