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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 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
Enter replacement volume, chapter and page numbers separated by commas. For example: Volume 2, Chapter 5, Pages 7, 12-19. Please limit requests to 25 pages or less. If you are located outside the United States or for more than 25 pages please contact Customer Service 1-800-328-4880 or email us at email@example.com.
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