LEGAL
• 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
• 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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