Broker-Dealer Operations and Regulation Under Securities and Commodities Laws
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
v. (loose-leaf) ; 24 cm
St. Paul, MN
Commodity exchanges, Law and legislation, Stockbrokers, Legal status, laws, United States
Banking and Finance Law | Legislation
Markham, Jerry W., "Broker-Dealer Operations and Regulation Under Securities and Commodities Laws" (2002). Faculty Books. 45.