Last edited by Dunos
Tuesday, May 5, 2020 | History

3 edition of Broker-dealer regulation found in the catalog.

Broker-dealer regulation

  • 119 Want to read
  • 24 Currently reading

Published by Practising Law Institute in New York City .
Written in English

    Places:
  • United States.
    • Subjects:
    • Stockbrokers -- Legal status, laws, etc. -- United States.,
    • Investment advisors -- Legal status, laws, etc. -- United States.,
    • Securities -- United States.

    • Edition Notes

      Statementedited by Clifford E. Kirsch.
      SeriesPractising Law Institute"s corporate and securities law library
      ContributionsKirsch, Clifford E.
      Classifications
      LC ClassificationsKF1071 .B76
      The Physical Object
      Paginationv. (loose-leaf) ;
      ID Numbers
      Open LibraryOL3434595M
      ISBN 101402403968
      LC Control Number2005275736

      Up to date to incorporate protection of the numerous FINRA and SEC responses to the financial downturn, the brand new second version of Broker-Dealer Regulation offers you with an entire and sensible understanding of the various necessities of this extremely regulated space. By way of background, the SEC finalized Regulation Best Interest: The Broker-Dealer Standard of Conduct (Reg BI or the Final Rule) on June 5, The SEC also issued a final rule regarding Form CRS and two final Commission Interpretations. The implementation date for Reg BI and Form CRS is J

      In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and derivatives trading process. Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others . Broker-dealers and their compliance professionals and risk officers need legal counselors who have a thorough understanding of existing, new and evolving rules and regulations, in a wide variety of circumstances, and how to implement the .

      Broker-Dealer Regulation Treatise Sutherland Partner Cliff Kirsch is the author of PLI's Broker Dealer Regulation Treatise. The treatise is filled with practical suggestions on how to best comply with requirements in such areas as electronic trading, safeguarding customer information, trading desk activities and business continuity planning. Enhancing Professional Conduct in the Business Ethics & Compliance Broker-Dealer Regulation: Broker-Dealer Regulation: Suitability Financial Services Industry Book, Records, Reports & Registration and Welcome Reception Sales Practice Compliance Thank you for attending Wharton Executive Education.


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Broker-dealer regulation Download PDF EPUB FB2

It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and : Thomas Hazen.

Broker Dealer Regulation 4 Volume Set 2nd Edition by Clifford Kirsch (Author) out of 5 stars 1 rating. ISBN ISBN X. Why is ISBN important. ISBN. This bar-code number lets you verify that you're getting exactly the right version or edition of a book.

5/5(1). Fundamentals of Broker-Dealer Regulation Practicing Law Institute Seminar Panel: Broker-Dealer Exam Priorities and Fundamental Review of the Trading Book Rules. broker-dealer is, or is affiliated with, a registered investment adviser. File Size: 2MB. Written by the leading authority in the field, a practicing lawyer who is also policy-minded, this book is the market standard.

The Guide to Broker-Dealer Regulation is an indispensable summary and analysis of the legal and regulatory considerations relevant to the operation of broker-dealers." David Harris, President, Chicago Board Options Author: Steven Lofchie.

Hazen's Broker Dealer Regulation: Cases & Materials (American Casebook Series?) by Thomas Lee Hazen, David L. Ratner and a great selection of related books, art and collectibles available now at   The Securities Exchange Act of ("Exchange Act" or "Act") governs the way in which the nation's securities markets and its brokers and dealers operate.

This section contains some of the significant provisions of the Act and its rules. You will find information about whether you need to register as a broker-dealer and how you can register.

Broker-Dealer Regulation: New Developments and Continuing Practical Concerns Regarding Registration Requirements for Business Brokers, “Finders,” and Other Financial Intermediaries By Stephen P.

Wink, Dana G. Fleischman, and Brett M. Ackerman T he past year brought signifi cant developments relating to. Get this from a library. Broker-dealer regulation in a nutshell. [Thomas Lee Hazen] -- "This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets.

It covers broker-dealer front office and back office issues as well as market. Updated to ensure coverage of the latest laws and regulations governing broker-dealers, the second edition of Broker-Dealer Regulation provides comprehensive and practical overview of the many requirements of this highly regulated area.

This two-volume work instructs on how brokerage firms can satisfy SEC/SRO standards, with detailed coverage of. Broker-Dealer Regulation is the only casebook available that presents a comprehensive and current overview of the broker-dealer regulatory framework.

It focuses on the federal and self-regulatory framework for broker-dealers along with an in-depth discussion of the current regulatory developments such as changes due to Dodd Frank, the JOBS Act Author: Cheryl Nichols.

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 Cited by: 1.

CHAPTER 6 US Broker-Dealer Regulation HON. DANIEL M. GALLAGHER Patomak Global Partners, LLC Former Commissioner, US Securities and Exchange Commission US FEDERAL BROKER-DEALER REGULATION The US capital markets are inhabited by vari ous types of market participants, each performing diff erent roles and subject to diff erent oversight regimes.

Broker-Dealer Regulation can ensure you stay up to speed with the many new regulations coming your way and gain a solid, working grasp of today's standards. This essential, accessible reference will show you how FINRA, the newly created single regulatory organization, will continue to develop a single set of securities rules and how that will Price Range: $ - $   Broker-Dealer Regulation book.

Read reviews from world’s largest community for readers. Updated to include coverage of the significant FINRA and SEC resp Format: Kindle Edition. Characteristics. and therefore deserves special attention. The third chapter is the regulation of trade execution in the broker-dealer intermediary acts done specialized study.

Chapter IV of the transactions in the behavior of the broker-dealer intermediary recommended behavioral regulation carried out the analysis.

This entry was posted in Course Handbooks, PLI Press and tagged Antitrust Law, Broker-Dealer Regulation, broker/dealer, civil rights litigation, Employment Law, financial services industry regulation compliance, games industry, outsourcing, patent licensing, section on 12/20/ by Library Relations.

PLI Treatises Updated in September Broker-Dealer Regulation is the only casebook available that presents a comprehensive and current overview of the broker-dealer regulatory framework. It focuses on the federal and self-regulatory framework for broker-dealers along with an in-depth discussion of the current regulatory developments such as changes due to Dodd Frank, the JOBS Act.

This title provides an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues, as well as market regulation generally. It offers an understanding of basic concepts and Price: $ Get this from a library.

Broker-dealer regulation in a nutshell. [Thomas Lee Hazen] -- This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets.

It covers broker-dealer front office and back office issues as well as market. Broker-Dealer Regulation is the only casebook available that presents a comprehensive and current overview of the broker-dealer regulatory framework.

It focuses on the federal and self-regulatory framework for broker-dealers along with an in-depth discussion of the current regulatory developments such as changes due to Dodd Frank, the JOBS Act Format: Casebound.

Fundamentals of Broker-dealer Regulation. Clifford E. Kirsch. Practising Law Institute, - Stockbrokers. 0 Reviews. From inside the book. What people are saying - Write a review.

We haven't found any reviews in the usual places. Contents. FACULTY BIOS. WHO IS A BROKERDEALER? This law school casebook is devoted to broker-dealer regulation in the securities markets. The book covers SEC and self-regulation of the securities brokerage industry and the securities markets, fraud, manipulation, abusive sales practices, margin regulation, obligations to customers, conflict of interest, and investment : $Publication Date: April 28th, ISBN: Subject: Securities Regulation Series: Nutshells Type: Overviews Description: This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets.

It covers broker-dealer front office and back office issues as well as market regulation generally.