Faculty Books
 
Broker-Dealer Operations and Regulation Under Securities and Commodities Laws

Title

Broker-Dealer Operations and Regulation Under Securities and Commodities Laws

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.