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Cover of BROKER DEALER REGULATION FULL SET
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Broker Dealer Regulation, 2026 ed.

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BROKER DEALER REGULATION FULL SET

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Softbound book

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Monthly subscription - 2 year (24-month term)

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$341.00

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Broker Dealer Regulation provides comprehensive coverage of all aspects of the complex topic of broker-dealer regulation. This wide-ranging treatment addresses the following key areas:

  • Registration requirements, including:
    • Who must register
    • Badges of
Publisher:Clark Boardman Callaghan
Service Number:16622615
Pages:2272
Publication date:2025-02-21
Print Series:Securities law
Practice area:Securities law
Jurisdiction:General
External Product Title:BROKER DEALER REGULATION FULL SET
Update frequency:As changes in the law dictate
Update Format:N/A
Subscription Number:16622614
Available Formats:Softbound book
Copyright:2022-2025
Shelf space:22 in
Authors:
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Gerald T. Lins, General Counsel of Voya Investment Management

Gerald T. Lins is General Counsel of Voya Investment Management. Mr. Lins has also been the head lawyer overseeing legal matters for other asset management institutions and fund complexes and, during several years of private practice, concentrated on

 

Thomas P. Lemke

Thomas P. Lemke is an asset management executive with more than 30 years experience. Most recently he was General Counsel and Head of Governance for a global asset management firm. He previously was a partner in a major law firm where his practice specialized