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

Product details:

Brand: Clark Boardman Callaghan
Copyright: 2010-2017
ISBN: 9781539247241
Publication frequency: Updated as changes in the law dictate
Update method: N/A

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

100082018

100082018
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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

  • Federal regulation of financial planners
  • FINRA regulation of broker-dealers
  • Fees and record keeping requirements
  • Fees and record keeping requirements
  • FINRA regulation of broker-dealers
  • Advisory contracts
  • Federal regulation of financial planners
  • Advisory contracts