PDP
PDP
Skip to content Skip to navigation menu
Your browser is not supported by this site.
Please update to the latest version, or use a different browser for the best experience.
Broker Dealer Regulation (Vol. 15 & 15A, Securities Law Series)

Author(s):

Product details:

Format: Binder/Looseleaf
Brand: Clark Boardman Callaghan
Copyright: 2014-2019
Service #: 16622615
Sub #: 16622614
Publication Frequency: Updated as changes in the law dictate
Update format: Replacement pages

Can we help?

Contact Us 
Call 1-888-728-7677

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

100028197

Availability:

In stock
(details)

100028197
100028197
One time purchase (Full set)
$2,687.00
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
$242.00/month
Our Assured Print Pricing program offers predictable monthly pricing and capped year-over-year price increases. Choose between 2, 3, 5, and 10-year agreements. All updates, new editions, and revisions are included in your monthly payment and delivered automatically, as soon as they become 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 duties

    • 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