Updated to include coverage of the significant FINRA and SEC responses to the economic downturn, the new second edition of Broker-Dealer Regulation provides you with a complete and practical understanding of the many requirements of this highly regulated area. This two-volume work ensures that you satisfy SEC/SRO standards governing your firm, with detailed coverage of:
Broker-Dealer Regulation is filled with practical suggestions on how to best comply with requirements in such areas as electronic trading, safeguarding customer information, trading desk activities and business continuity planning. Recent updates have covered new FINRA Rule 2111 which governs what are and what are not suitable customer transactions the SEC s renewed emphasis on pursuing insider trading claims under 10b5-2 the SEC s recently adopted Rule 15c3-5 on allocation between clearing firm and introducing broker in connection with risk management controls for clearing firms providing market access and a new Chapter 21A on outsourcing issues for financial services firms.
Updated at least once a year, Broker-Dealer Regulationis an invaluable resource for broker-dealers, securities attorneys, compliance officers, and regulators.
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Descripción Practising Law Institute (PLI). Hardcover. Estado de conservación: New. 140241689X Brand New! Usually ships within one business day! This item is: Broker-Dealer Regulation, '; 2nd ed., 2011; binder-looseleaf; ISBN: 9781402416897. For fastest delivery, choose Expedited Shipping. We represent the Internet's largest independent legal bookstore!. Nº de ref. de la librería ATTY20019
Descripción Practising Law Institute (PLI). Hardcover. Estado de conservación: New. 140241689X *BRAND NEW* Ships Same Day or Next!. Nº de ref. de la librería NATARAJB1FI942086
Descripción Practising Law Institute (PLI), 2011. Hardcover. Estado de conservación: New. book. Nº de ref. de la librería M140241689X
Descripción Practising Law Institute (PLI), 2011. Hardcover. Estado de conservación: Brand New. 2nd lslf edition. 2920 pages. 9.50x8.10x7.00 inches. In Stock. Nº de ref. de la librería 140241689X