Broker-Dealer Operations and Regulation Under Securities and Commodities Laws

Authors

Jerry W. Markham, Florida International University College of Law

Files

Excerpt

The two-volume Broker-Dealer Operations Under Securities and Commodities Law is a guide to broker-dealer back-office operational issues and supervisory responsibilities. Issues covered include: • Sales practices, including suitability and churning • Market abuses and best execution requirements • Broker-dealer registration requirements • Employees' sexual harassment and discrimination claims • Regulatory structure imposed by federal regulators upon broker-dealers • Retention requirements via books, record keeping, and financial reporting requirements • Arbitration of broker-dealer disputes

Description

v. (loose-leaf) ; 24 cm

ISBN

0876323921

Publication Date

2002

Publisher

Thomson/West

City

St. Paul, MN

Keywords

Commodity exchanges, Law and legislation, Stockbrokers, Legal status, laws, United States

Disciplines

Banking and Finance Law | Legislation

Comments

2nd ed. ( v.23-23A). Includes bibliographical references and index.

Recommended Citation

Markham, Jerry W., "Broker-Dealer Operations and Regulation Under Securities and Commodities Laws" (2002). Faculty Books. 45.
https://ecollections.law.fiu.edu/faculty_books/45