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Ideas & Insights

 




Insight Article

Liquidity and funding risk

A summary of regulatory guidance from FINRA and the SEC and the importance of continually focusing on liquidity risk management procedures.

  • Hague, John
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Financial Reporting Insights

Promptly transmitting customer funds

A recent SEC staff no-action letter addresses prompt transmission of customer’s funds to the carrying broker-dealer.











Investment Industry Insights

Tax benefits of managed futures

Investing in managed futures carries significant tax benefits. Learn more about a lesser-known provision buried in Internal Revenue Code section 1256.