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Fundamentals of Broker-Dealer Regulation 2016
Chair(s):
Clifford E. Kirsch
Practice Area:
Corporate & Securities
Published:
Jul 2016
ISBN:
9781402427176
PLI Item #:
148919
CHB Spine #:
B2262
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. What is a Broker-Dealer? (August 1, 2012)
Chapter 2. Broker-Dealer Registration and Membership; Registration of Associated Person
Chapter 3. U.S. Securities and Exchange Commission, Division of Trading and Markets: Guide to Broker-Dealer Registration (April 2008)
Chapter 4. An Overview of the Broker-Dealer Regulatory Framework (May 20, 2016)
Chapter 5. State Registration of Broker-Dealers
Chapter 6. The Broker-Dealer and Adviser Uniform Standard of Care
Chapter 7. The Customer Relationship (May 24, 2016)
Chapter 8. Practical Considerations Regarding the Establishment and Maintenance of the Broker-Dealer Supervisory Framework
Chapter 9. Recent Developments Relating to Rules 15c3-1 and 15c3-3 (May 23, 2016)
Chapter 10. Broker-Dealer Trading Issues (May 20, 2016)
Chapter 11. Record-Keeping (August 6, 2012)
Chapter 12. Outline for SEC and FINRA Examination Programs
Chapter 13. FINRA 2016 Regulatory and Examination Priorities Letter (January 5, 2016)
Index
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