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Fundamentals of Broker-Dealer Regulation 2012
Clifford E. Kirsch
Banking, Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. What Is a Broker-Dealer?
Chapter 2. State Registration of Broker-Dealers
Chapter 3. U.S. Securities and Exchange Commission, Division of Trading and Markets: Guide to Broker-Dealer Registration
Chapter 4. The Customer Relationship
Chapter 5. Redefining the Retail Relationship: The Emerging Regulatory Framework Governing Suitability, the Standard of Care and Disclosure
Chapter 6. Broker-Dealer Supervision
Chapter 7. PwC Financial Services Regulatory Practice: How We Can Help Broker-Dealers
Chapter 8. PwC FS Regulatory Brief: SEC Issues Exemptions from the Large Trader Reporting Rule
Chapter 9. PwC FS Regulatory Brief: The SEC's New Large Trader Reporting Requirements Place New Regulatory Obligations on Both Asset Managers and Broker-Dealers
Chapter 10. PwC FS Regulatory Brief: New SEC Rule 15c3-5 Bans Unfiltered Market Access, Creates New CEO Certification, Risk Management, Supervisory and Compliance, and Operational Obligations for Broker-Dealers
Chapter 11. Navigating Risk in the High-Frequency Trading Environment
Chapter 12. Regulation of Broker-Dealers: Summary Overview & Selected Recent Developments
Chapter 13. Broker-Dealer Regulation: Record Keeping
Chapter 14. SEC and FINRA Examination Programs
Chapter 15. Overview of the Broker-Dealer Financial Responsibility Rules (PowerPoint)
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