Broker Dealer Regulation (Vol. 15 & 15A, Securities Law Series)

See inside:

Table of contents › Indices ›

Update highlights and filing ›

Author(s):

David A Lipton

Product details:

Format: Binder/Looseleaf

Brand: Clark Boardman Callaghan

Service #: 16622615

Sub #: 16622614

Publication frequency: Updated semiannually

Update method: Replacement pages

Can we help?

Call 1-888-728-7677

Broker Dealer Regulation (Vol. 15 & 15A, Securities Law Series)

Availability:

Partial stock

(details)

Email this page

100028197

One time purchase (Full set)

$1,930.00 $1,640.50

Purchase the current version only, no updates will be sent.

One time purchase (Individual volumes)

Purchase the current version only, no updates will be sent.

Monthly pricing

$153.00/month $114.75/month

Convenience of fixed monthly payments and long term price protection. Choose 24 or 36 months. All updates, revisions, and new editions included.

ebook ProView ProView eBook also available

Broker Dealer Regulation provides a detailed description of the broker-dealer registration process. This timely survey of an increasingly complex and sensitive subject covers:

• Broker-dealer prohibitions

• 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

• State (blue sky) law

• Self-regulatory organization rules

Summary of contents
Replacement pages

Chapter
1. Broker-Dealer Registration: Coverage
  1. In General (ss 1:1 to 1:3)
  2. Who Must Register (ss 1:4 to 1:30)
  3. Intrastate Exemption from Registration (s 1:31)
  4. Registration of Foreign Broker-Dealers (ss 1:32 to 1:40)
  5. Brokers Exempted from Registration (ss 1:41 to 1:43)
  6. Broker-Dealer Registration and Definition of a Security (ss 1:44 to 1:48.5)
  7. Exempted and Other "Excluded" Securities Affecting Broker-Dealer Registration (ss 1:49 to 1:55)
  8. Banks and Broker Registration (ss 1:56 to 1:63)
  9. Municipal Securities Brokers and Dealers (ss 1:64 to 1:67)
  10. Regulation of Government Securities Dealers (ss 1:68 to 1:72)
  11. Broker-Dealer Derivatives (ss 1:73 to 1:77)
2. Broker-Dealer Registration Process
  1. Application Procedure (ss 2:1 to 2:5)
  2. Application Form (Form Bd), Accompanying Financial Statement, and Consent to Service of Process (ss 2:6 to 2:8.5)
  3. Withdrawal of Registration (ss 2:9 to 2:15)
  4. Registration of Successors and Amendments to Registration (ss 2:16 to 2:18)
  5. Matters Incidental to Registration (ss 2:19 to 2:26)
  6. Consequences of Unlawful Nonregistration (ss 2:27 to 2:31)
  7. Government Securities Brokers and Dealers: Registration and Notification Process (ss 2:32 to 2:37)
  8. Government Securities Brokers and Dealers: Regulation Other Than Registration (ss 2:38, 2:39)
    Appendices
3. Regulation of Brokers Under the Securities Act of 1933
1. A. Use of Electronic Media by Broker-Dealers for Delivery of Information (ss 3A:1 to 3A:5)
2. B. Information Dissemination and Review of Disclosure Document Obligations in Connection with Offerings of Municipal Securities
  1. Background to and Basic Operation of Current Broker-Dealer Information Dissemination and Review Obligations (s 3B:1)
  2. Operation of Rule 15c2-12 [17 C.F.R. § 240.15c2-12] (ss 3B:2 to 3B:15)
  3. Duties of Underwriters and Dealers of Municipal Securities Arising Under Case Law and Administrative Action (ss 3B:16 to 3B:20)
3. Selected Issues in Securities Industry Arbitration
  1. Significance of Arbitration (ss 4:1 to 4:5)
  2. Basis of Arbitrators' Decisions (ss 4:6 to 4:15)
  3. The Arbitration Process (ss 4:16 to 4:18)
  4. Study of Inefficient Use of Arbitration (ss 4:19, 4:20)
4. Broker Breaches of Fiduciary Duties and Related Acts of Fraud
  1. Misrepresentation or Shingle Theory (ss 5:1 to 5:9)
  2. Fiduciary Theory (s 5:10)
  3. Breach of Shingle Theory Obligations as an Act of Fraud (ss 5:11 to 5:15)
  4. Churning (ss 5:16 to 5:28)
  5. Telemarketing Abuses: Nasd Rules (s 5:29)
  6. Online Suitability: Nasd Rules (ss 5:30 to 5:32)

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 customerservice@thomsonreuters.com.

* Denotes required fields

Replacement pages *

First name *

Last name *

Country *

Organization name

E-mail *

Phone *

West account *

Address *

P.O. Box

City *

State *

ZIP *