Broker Dealer Operations, 2025-2026 ed.
Publisher:
Clark Boardman CallaghanAuthor(s):
PROVIEW BROKER DEALER OPERATIONS SUB
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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
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