Adam Fleisher

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The Securities and Exchange Commission (SEC) published a Final Rule earlier last week amending certain annual reporting, audit, and notification requirements for broker-dealers in the broker-dealer reporting rule (Rule 17a-5) and the broker-dealer notification rule (Rule 17a-11).  These amendments were enacted using the additional authority provided to the Public Company Accounting Oversight Board (PCAOB) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).  The PCAOB is empowered to establish standards with regard…