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Broker-Dealer Operations Under Securities and Commodities Law (Vols. 23 and 23A, Securities Law Series)

Product details:

Format: Binder/Looseleaf
Brand: Clark Boardman Callaghan
Copyright: 2014-2016
Service #: 16622607
Sub #: 16622606
Publication frequency: Annually
Update method: Replacement pages

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Broker-Dealer Operations Under Securities and Commodities Law (Vols. 23 and 23A, Securities Law Series)

100028195

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The two-volume Broker-Dealer Operations Under Securities and Commodities Law is a guide to broker-dealer back-office operational issues and supervisory responsibilities. Issues covered include:

    • Sales practices, including suitability and churning

    • Market abuses and best execution requirements

    • Broker-dealer registration requirements

    • Employees' sexual harassment and discrimination claims

    • Regulatory structure imposed by federal regulators upon broker-dealers

    • Retention requirements via books, record keeping, and financial reporting requirements

    • Arbitration of broker-dealer disputes

This publication also:

    • Details net capital requirements of the Security Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC)

    • Includes credit regulations and margin rules

    • Provides SEC and CFTC regulator schedules regarding customer funds protection, use, and segregation

    • Contains a historical perspective on abuses and resulting commodities laws, as well as insight into SEC and CFTC intent