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Broker Dealer Regulation, 2022-2023 ed. (Vol. 15 & 15A, Securities Law Series)

Product details:

Brand: Clark Boardman Callaghan
Copyright: 2022
Service #: 16622615
Sub #: 16622614
Pages: 2162
Publication Frequency: Updated as changes in the law dictate
Update format: Replacement pages

Free update period with subscription:

90 days  (details)

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Broker Dealer Regulation, 2022-2023 ed. (Vol. 15 & 15A, Securities Law Series)



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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 broker-dealer activity
    • Rule 3a4-1 safe harbor for issuers and their employees
    • Finders
    • Crowdfunding
    • Exemption for Non-U.S. broker-dealers
    • Bank registration issues
  • Registration process, including:
    • Form BD requirements
    • SRO membership
    • Qualification and registration of associated persons
    • Disqualified persons
    • Form U4 requirements
    • Form U5 requirements
    • Continuing education requirements
  • SEC/FINRA regulatory requirements, including:
    • Customer account agreements and related matters
    • Regulation Best Interest and Form CRS requirements
    • Sales activities
    • Regulation S-P
    • Compensation, gifts, business entertainment, and outside business activities
    • Advertisements and other communications with the public
    • Supervision, oversight, and risk controls
    • SIPC requirements
  • Regulation under the Securities Act of 1933, including:
    • Who is an underwriter?
    • Rule 144 – a means to avoid underwriter status
    • Dealer exemption (Section 4(a)(3))
    • Prospectus dissemination obligations when offering or selling securities
    • Liability
  • Using electronic media to deliver information to, and communicate with, customers
  • Obligations in connection with municipal securities offerings
  • Selected issues in securities arbitration
  • Breaches of fiduciary duties and related fraud, including:
    • The “shingle” theory
    • Churning
    • Telemarketing abuses
  • FINRA/SEC examinations and investigations