TFOG (Today from our Government) 11-16-11: FASAB, Joint Rule SEC+ CFTC Investment Advisers - to private Funds and certain Commodity Pool Operators, FDIC Notice, Department of Treasury Rule on Russian River and Sonoma Valley
Renewing the FASAB Charter.
SEC + CFTC Joint Rule:
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
FDIC Notice:
In accordance with the Federal Advisory Committee Act, notice is hereby given of a meeting of the FDIC Advisory Committee on Economic Inclusion, which will be held in Washington, DC. The Advisory Committee will provide advice and recommendations on initiatives to expand access to banking services by underserved populations.
DATES:
Thursday, December 1, 2011,from 8:45 a.m. to 3:45 p.m
Department of Treasury: Final rule; Treasury decision.
SUMMARY: This Treasury decision expands the Russian River Valley viticultural area in Sonoma County,California, by 14,044 acres, and the Northern Sonoma viticultural area in Sonoma County, California, by 44,244 acres. TTB designates viticultural areas to allow vintners to better describe the origin of their wines and to allow consumers to better identify wines they may purchase.
Effective Date: December 16,2011.
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11-16-11 FEDERAL ACCOUNTING STANDARDS ADVISORY BOARD (FASAB) Notice of Renewal of FASAB Charter
11-16-11 CFTC and SEC Joint Final Rule Reporting by Investment Advisers to Private Funds and Certain Commod...
11-16-11 FDIC Notice
11-16-11 Dept of Treasury Rule (on Vineyards) expanding Russian River Valley and Sonoma Viticultural Areas
Showing posts with label Investment Advisors Act 1940. Show all posts
Showing posts with label Investment Advisors Act 1940. Show all posts
Sunday, November 20, 2011
Monday, May 16, 2011
Securities and Exchange Commission Acts 1933, 1934 + 1940s Investment Acts - We are here to Assist on related Accounting, Compliance and Reporting needs.
US CFR (Executive Branch Rules) Title 17 Commodity and Securities Exchange Ch. II Part 210 - Form and Content of and Requirements for FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, and ENERGY POLICY AND CONSERVATION ACT OF 1975. Is a key source for SEC Regulatory Reporting Accounting Rules dealing with Qualifications of Accountants, Audits, Financial Statements and Elements thereof. We are most interested at this point in Elements of this section of Executive Branch Rules for their specific application to Accountants and to the Financial Services Industry. We are for the time present focused on SEC Acts 1933, 1934 and the Investment Acts 1940 for their relevancy to our experience in Financial Services work and areas of forward interest.
The SEC Acts of 1933 + 1934 deal with initial issuance and subsequent sales of Securities in Financial Markets and Related Requirements - a substantial core of Market Related Accounting, Reporting and other related requirements for Financial Services Accountants covering IPOs, Capital Makets in Equity and Debt Securities, Broker-Dealers and more. We will go in depth with all we see in so far as it pertains to CPAs or Related Services. With prior Hands on Experience in the role providing FINOP / Net Capital Rule Focus Reporting under 15c3-1 and a ready status to include 15c3-3.
The SEC Acts of 1940 pertaining to Investment Companies and Investment Advisers are key considerations for Asset Management Firms and Research / Advisory Firms. As a CPA Practise with a close connection to the Asset Management Industry through experience and expertise, it makes sense to spend some time in this specific area.
We connect with core Accounting Rules under FASB US GAAP Accounting Standards Codifications in this case focusing on Industry Topic 940 - Financial Services - Broker-Dealers and Industry Standards Topic 946 - Financial Services Investment Companies. In the Case of Broker-Dealers we must consider GAAP, the SEC Laws and FINRA Rules to be comprehensive. For Investment Management Firms the Same in GAAP, SEC Laws and FINRA rules. Registration requirements for Investment Advisors (while currently under review at Law) being covered at the Federal or State Level depending on Assets and introducing the next level of regulation required to be observed at the State Level.
Why not limit the consideration of this at the Doors of US GAAP?, it is not possible to limit this analysis at the Doors of US GAAP because Laws and Rules play a large part in Financial Services Businesses and to truly be effective means to understand this and be aware of this. Yes we are limited to the role of Public Accounting or Consulting that is driven by Accounting and Reporting - but the objective is to be comprehensively tuned in to the many Laws and Rules that pertain to Financial Services and other Businesses to best support them, in Accounting, In Tax, In Regulation and Operations and in so doing we reach our greatest value added capacity when you combine this awareness with Accounting Skills, Research Expertise and in our specific pathway for relative continuing education on one of the key Industries we support the Asset Management Industry.
We are a CPA Service and Business Consulting Solution with specific area expertise with Broker-Dealers and Asset Management Firms and experience that includes prior work from the Controllers End interfacing with NYSE Coordination, FINRA and the SEC - work specifically focused on Regulatory Reporting, Accounting and Financials. For this very reason we can be a strong selection for Businesses with related needs. Stay tuned with us here in our blog and we will continue to expand on the related theme, but at this point you are sufficiently aware that we are here for you on related service needs.
The SEC Acts of 1933 + 1934 deal with initial issuance and subsequent sales of Securities in Financial Markets and Related Requirements - a substantial core of Market Related Accounting, Reporting and other related requirements for Financial Services Accountants covering IPOs, Capital Makets in Equity and Debt Securities, Broker-Dealers and more. We will go in depth with all we see in so far as it pertains to CPAs or Related Services. With prior Hands on Experience in the role providing FINOP / Net Capital Rule Focus Reporting under 15c3-1 and a ready status to include 15c3-3.
The SEC Acts of 1940 pertaining to Investment Companies and Investment Advisers are key considerations for Asset Management Firms and Research / Advisory Firms. As a CPA Practise with a close connection to the Asset Management Industry through experience and expertise, it makes sense to spend some time in this specific area.
We connect with core Accounting Rules under FASB US GAAP Accounting Standards Codifications in this case focusing on Industry Topic 940 - Financial Services - Broker-Dealers and Industry Standards Topic 946 - Financial Services Investment Companies. In the Case of Broker-Dealers we must consider GAAP, the SEC Laws and FINRA Rules to be comprehensive. For Investment Management Firms the Same in GAAP, SEC Laws and FINRA rules. Registration requirements for Investment Advisors (while currently under review at Law) being covered at the Federal or State Level depending on Assets and introducing the next level of regulation required to be observed at the State Level.
Why not limit the consideration of this at the Doors of US GAAP?, it is not possible to limit this analysis at the Doors of US GAAP because Laws and Rules play a large part in Financial Services Businesses and to truly be effective means to understand this and be aware of this. Yes we are limited to the role of Public Accounting or Consulting that is driven by Accounting and Reporting - but the objective is to be comprehensively tuned in to the many Laws and Rules that pertain to Financial Services and other Businesses to best support them, in Accounting, In Tax, In Regulation and Operations and in so doing we reach our greatest value added capacity when you combine this awareness with Accounting Skills, Research Expertise and in our specific pathway for relative continuing education on one of the key Industries we support the Asset Management Industry.
We are a CPA Service and Business Consulting Solution with specific area expertise with Broker-Dealers and Asset Management Firms and experience that includes prior work from the Controllers End interfacing with NYSE Coordination, FINRA and the SEC - work specifically focused on Regulatory Reporting, Accounting and Financials. For this very reason we can be a strong selection for Businesses with related needs. Stay tuned with us here in our blog and we will continue to expand on the related theme, but at this point you are sufficiently aware that we are here for you on related service needs.
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