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Broker Dealer Regulation, 2025 ed.
Description
Broker Dealer Regulation provides a detailed description of the broker-dealer registration process. This timely survey of an increasingly complex and sensitive subject covers:
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- Broker-dealer disclosure requirements
- Broker-dealer financial and record retention responsibilities
- Broker-dealer sanctions for performance failures
- Client/broker dispute resolution forums
- Broker-dealer liability
- The definition of an underwriter
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- Self-regulatory organization rules
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