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    Cover of BROKER DEALER OPERATIONS FULL SET
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    Broker Dealer Operations, 2025-2026 ed.

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    BROKER DEALER OPERATIONS FULL SET

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    Softbound book

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    Monthly subscription - 2 year (24-month term)

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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
    Publisher:Clark Boardman Callaghan
    Service Number:16622607
    Publication date:2024-11-13
    Practice area:Securities law
    Jurisdiction:General
    External Product Title:BROKER DEALER OPERATIONS FULL SET
    Update frequency:Updated annually
    Update Format:Replacement pamphlets
    Subscription Number:16622606
    Available Formats:Softbound book
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    Publication Frequency:
    Updated annually
    Updated Format:
    Replacement pamphlets


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    Jerry W. Markham

    Markham is a professor of law at Florida International University in Miami. From 1991 until 2003, he was a professor of law at the University of North Carolina. He was previously a partner in an international law firm and an adjunct professor of law at 

    Thomas Lee Hazen

    Hazen is the Cary C. Boshamer Distinguished Professor of Law at the University of North Carolina at Chapel Hill. Professor Hazen is recognized scholar in the fields of securities, corporate, and commodities law. He has published widely in each of these 

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