New on FinoLib · Volume IV: Finance Careers
I have just published a new reference page on FinoLib: Finance Careers Sources and Further Reading, Part 2 of 2. It lists the primary sources behind Volume IV: Finance Careers, grouped by topic, so you can check any figure or rule at its origin. Below is an introduction and a sample of what it holds.
About this page
Every claim in Finance Careers traces back to a primary source: regulators, central banks, standard-setters and the statutes themselves. This page collects those references, grouped by topic, so you can check any figure or rule at its origin.
If you are studying, writing or building a model, start here. The links point to government and standard-setter pages that change rarely, so they stay useful for years. Each entry says what the source supports, so you can go straight to the one you need.
A sample of the sources (73 entries on the full page)
Companies Act, 2013, section 139 (appointment of auditors), statute text — Board appoints first auditor within 30 days of registration (139(6))
CBIC, GST frequently asked questions — Inter-state suppliers of goods register irrespective of turnover; a branch in another state needs fresh registration
SEC press release 2023-29, T+1 settlement — E.1, E.6: T+1 adopted Feb 15, 2023, compliance May 28, 2024; Rule 15c6-2 same-day affirmation; adviser records; CMSP reports
SEBI circular, Mar 21, 2024 (T+0 beta) — E.1 India T+1 from Jan 27, 2023; T+0 beta for 25 scrips from Mar 28, 2024
FCA Handbook CASS 7.15, 1A.3, 10.1; SUP 3.10, 16.14 — E.4 daily internal and monthly external reconciliation, same-day shortfall funding, oversight function, SM&CR prescribed responsibility, resolution pack 48 hours, auditor’s client assets report, monthly CMAR within 15 business days
SEBI circulars on upstreaming of clients’ funds (Jun 8 and Dec 12, 2023) — E.4 no client funds retained by brokers at end of day; effective Jul 1, 2023
FINRA Series 99 and Series 27 — Getting In blocks: Operations Professional (SIE corequisite); Financial and Operations Principal
SEC press release 2013-187, JPMorgan Chase — E.7 $200 million penalty; valuation control group ‘woefully ineffective’; counterparties’ $500 million lower valuation
SEC, Transfer Agents — E.8 transfer agent functions; Form TA-1 registration with SEC or bank regulator
Basel Framework LCR and SRP31 (IRRBB) — E.9 30-day stress, 100% minimum, Level 2 caps 40%/15%, Level 2B haircuts 25-50%, stable deposits usually 5%; SRP31 outlier test at 15% of Tier 1 under six shocks
FDIC RMS Manual of Examination Policies, Section 3.2 Loans — E.10 Special Mention, Substandard, Doubtful, Loss definitions (version 3-2026)
RBI (Commercial Banks – Managing Risks in Outsourcing) Directions, 2025 — India Lens: Nov 28, 2025; core functions not outsourced; offshore outsourcing conditions; group outsourcing treated alike
SEC, Staff Accounting Bulletin No. 108 — Rollover and iron curtain methods; correcting immaterial prior-year errors (F.4, F.5)
PCAOB, AS 2201 — Control deficiency, significant deficiency and material weakness definitions; restatement as indicator (F.1, F.4)
15 U.S.C. 77f (Securities Act Section 6) — EGC confidential draft filed publicly 15 days before road show (F.3)
SEC, Division of Examinations Exam Handbook — Deficiency letters, 30-day response, Enforcement referral (F.5)
SEBI, ICDR Regulations, 2018 (amended to Mar 21, 2026) — Reg 6 eligibility, Reg 26(1) 21-day comments (Part F India Lens)
PCAOB staff Spotlight on generative AI (Jul 2024) — Augment not replace; user remains responsible; staff views
FINRA Regulatory Notice 24-09 (Jun 27, 2024) — Technology-neutral rules; Rule 3110 and Gen AI
Proposed third-party risk management guidance (Sep 11, 2026) — Vendor risk; replaces 2023 guidance when final
SEBI consultation paper on responsible AI/ML (Jun 20, 2025) — Proposed guidelines; check SEBI for final status (G India Lens)
ICAI, Chartered Accountancy course prospectus (updated June 2025) — H.2 CA stages, entry routes (55%/60% graduates, ICMAI/ICSI Intermediate passers), ICITSS, two years of practical training, 9-12 months industrial training, January/May/September exam cycles, registration fees
ICSI, Restructured CSEET page — H.2 restructured CSEET from the June 2026 session
GARP, FRM Certification — H.2 two exams (Part I, Part II) and two years of relevant work experience
8 CFR 214.2 (eCFR) — H.2 intracompany transferee definition: one continuous year abroad within the prior three years
Volume IV: Finance Careers
Read the full article on FinoLib
The complete article, Finance Careers Sources and Further Reading, Part 2 of 2, with every worked example, diagram, quiz and source, is free to read in Volume IV, Finance Careers on finolib.com.
Explore the Finance Education Series: Vol. II — Capital Markets · Vol. I — Global Economy · Vol. III — Finance Encyclopedia · Vol. IV — Finance Careers · Vol. V — Personal Finance