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

Product details:

Format: Book and Electronic
Brand: Clark Boardman Callaghan
Copyright: 2014-2015
Service #: 30920128
Sub #: 30923892
Publication Frequency: Updated as changes in the law dictate
Update format: N/A

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

106688740

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106688740
106688740
Book and Electronic
Special pricing applies

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