‘Madoff’ audits will crimp broker-dealers
An SEC rule proposal intended to thwart the likes of Bernard Madoff likely would result in significantly higher compliance costs for smaller broker-dealers.
An SEC rule proposal intended to thwart the likes of Bernard Madoff likely would result in significantly higher compliance costs for smaller broker-dealers.
Last week, the Securities and Exchange Commission unanimously agreed to move forward with a rule change that, if enacted, would expan
Learn more about reprints and licensing for this article.