LEGAL
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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
Appendices
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.
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