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Fundamentals of Broker-Dealer Regulation 2018

Practice Area: Broker-dealers, Regulation and compliance (Securities and other financial products), Securities and other financial products

Published: Jul 2018 i Other versions can be found in the Related Items tab.
ISBN: 9781402432064
PLI Item #: 219236
CHB Spine #: B2425

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Front Matter
Faculty Bios
Table of Contents
Chapter 1. U.S. Securities and Exchange Commission: Division of Trading and Markets—Investor Publications: Guide to Broker-Dealer Registration (October 6, 2009)
Chapter 2. State Registration of Broker-Dealers
Chapter 3. Overview of the Broker-Dealer Regulatory Framework (May 24, 2018)
Chapter 4. Overview of the FINRA Rulebook Framework (May 26, 2018)
Chapter 5. The Financial Industry Regulatory Authority’s Dispute Resolution Activities (May 16, 2018)
Chapter 6. Brian J. Ellis and Kathryn Burfitt Rockwood, Bressler, Amery & Ross, P.C., Securities Law Alert, Federal Agency Moves to Block Mandatory Arbitration for Financial Disputes (July 12, 2017)
Chapter 7. Brian J. Ellis and Kathryn Burfitt Rockwood, Bressler, Amery & Ross, P.C., Securities Law Alert, Consumer Financial Protection Bureau Rule—One Step Closer to Repeal (July 26, 2017)
Chapter 8. Brian J. Ellis and Kathryn Burfitt Rockwood, Bressler, Amery & Ross, P.C., Securities Law Alert, Time Is Ticking for Efforts to Repeal the Consumer Financial Protection Bureau Rule (October 24, 2017)
Chapter 9. Brian J. Ellis and Kathryn Burfitt Rockwood, Bressler, Amery & Ross, P.C., Securities Law Alert, 51-50 Vote Defeats Rule Banning Mandatory Arbitration (October 25, 2017)
Chapter 10. Kathryn Burfitt Rockwood, Bressler, Amery & Ross, P.C., Securities Law Alert, Sixth Circuit Broadly Applies “Arises in Connection with Business Activities” to Compel Mandatory Arbitration (January 9, 2018)
Chapter 11. Brett Redfearn, Director, Division of Trading and Markets, U.S. Securities and Exchange Commission, Speech, Remarks at the FINRA Annual Conference (May 22, 2018)
Chapter 12. Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Speech, The Evolving Market for Retail Investment Services and Forward-Looking Regulation—Adding Clarity and Investor Protection while Ensuring Access and Choice (May 2, 2018)
Chapter 13. Financial Industry Regulatory Authority (FINRA), Progress Report on FINRA360 (April 2018)
Index

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