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Broker Dealer Regulation (Vol. 15 & 15A, Securities Law Series)

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Product details:

Format: Binder/Looseleaf
Brand: Clark Boardman Callaghan
Copyright: 2014-2017
Service #: 16622615
Sub #: 16622614
Publication frequency: Semiannually
Update method: Replacement pages

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Broker Dealer Regulation (Vol. 15 & 15A, Securities Law Series)

100028197

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Broker Dealer Regulation provides a detailed description of the broker-dealer registration process. This timely survey of an increasingly complex and sensitive subject covers:

    • Broker-dealer duties

    • Broker-dealer prohibitions

    • Broker-dealer disclosure requirements

    • Broker-dealer financial and record retention responsibilities

    • Broker-dealer sanctions for performance failures

    • Client/broker dispute resolution forums

    • Broker-dealer liability

    • The definition of an underwriter

    • State (blue sky) law

    • Self-regulatory organization rules