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Broker Dealer Operations, 2025-2026 ed.
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Product details
Description
The two-volumeBroker-Dealer Operations Under Securities and Commodities Lawis 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
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