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:

Brand: Clark Boardman Callaghan
Copyright: 2015-2022
ISBN: 9781668729649
Publication Frequency: Updated as changes in the law dictate
Update format: N/A

Free update period with subscription:

90 days  (details)

Can we help?

Contact Us 
Call 1-888-728-7677
THOMSON REUTERS PROVIEW eBOOK EDITION

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

100082073
100082073
100028197
ProView eBook (Learn more)
$3,742.00
Monthly pricing (What's this?)
$288.00/month

This product is also available in a binder/looseleaf format

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