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ProView Plus Print Broker-Dealer Operations Under Securities and Commodities Law (Vols. 23 and 23A, Securities Law Series)

Product details:

Format: Book and Electronic
Brand: Clark Boardman Callaghan
Copyright: 2014-2015
Service #: 30920129
Sub #: 30923893
Publication Frequency: Updated as changes in the law dictate
Update format: N/A

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ProView Plus Print Broker-Dealer Operations Under Securities and Commodities Law (Vols. 23 and 23A, Securities Law Series)

106688744

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106688744
106688744
Book and Electronic
Special pricing applies

The two-volume Broker-Dealer Operations Under Securities and Commodities Law is a guide to broker-dealer back-office operational issues and supervisory responsibilities. Issues covered include: • Sales practices, including suitability and churning • Market abuses and best execution requirements • Broker-dealer registration requirements • Employees' sexual harassment and discrimination claims • Regulatory structure imposed by federal regulators upon broker-dealers • Retention requirements via books, record keeping, and financial reporting requirements • Arbitration of broker-dealer disputes This publication also: • Details net capital requirements of the Security Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) • Includes credit regulations and margin rules • Provides SEC and CFTC regulator schedules regarding customer funds protection, use, and segregation • Contains a historical perspective on abuses and resulting commodities laws, as well as insight into SEC and CFTC intent