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Regulation of Financial Planners (Vols. 19 and 19A, Securities Law Series)

Product details:

Format: Binder/Looseleaf
Brand: Clark Boardman Callaghan
Copyright: 2010-2017
Service #: 16622727
Sub #: 16622728
Publication frequency: Semiannually
Update method: Replacement pages

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Regulation of Financial Planners (Vols. 19 and 19A, Securities Law Series)

100027677

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This resource gives you a comprehensive overview of financial planning. It defines financial planning and covers related topics, including state and federal regulation, and civil and criminal liability. It analyzes state and District of Columbia laws and focuses on areas of law that have a direct impact on business.

Features

  • State regulation of financial planners
  • State regulation of financial planners
  • SEC registration requirements and procedures for advisers
  • FINRA regulation of broker-dealers
  • State insurance regulations
  • FINRA regulation of broker-dealers
  • State insurance regulations
  • SEC registration requirements and procedures for advisers