
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 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
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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