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

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