Thursday, December 29. 2022

SEC Approves PCAOB Budget and Accounting Support Fee for 2023

On December 23rd, the SEC approved the 2023 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. The PCAOB monitors the audits and auditors of the financial statements that are submitted by registered broker-dealers and issuers. Section 109 of the Sarbanes-Oxley Act of 2002 requires the PCAOB to establish, with SEC approval, a reasonable accounting support fee to fund its operations. Continue reading "SEC Approves PCAOB Budget and Accounting..." »
Posted by
LeAnn Dey
in Accounting, SEC at 18:14

SEC Proposes New Rules Related to Regulation Best Execution

The SEC has proposed new rules under the Exchange Act concerning a broker-dealer’s duty of best execution. Under proposed Regulation Best Execution, the current regulatory framework for the duty of best execution would be enhanced by requiring detailed policies and procedures for all broker-dealers. Continue reading "SEC Proposes New Rules Related to Regulation..." »
Posted by
LeAnn Dey
in Investment Management, SEC at 10:46
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