Broker Dealer Regulation
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Author | : Thomas Lee Hazen |
Publisher | : West Academic |
Total Pages | : 271 |
Release | : 2011 |
Genre | : Law |
ISBN | : 9780314189578 |
Download Broker-dealer Regulation in a Nutshell Book in PDF, Epub and Kindle
This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).
Author | : Jerry W. Markham |
Publisher | : |
Total Pages | : |
Release | : 1998-01-12 |
Genre | : |
ISBN | : 9780420611307 |
Download Broker Dealer Operations Under Securities and Commodities Law Book in PDF, Epub and Kindle
This work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
Author | : Cheryl Nichols |
Publisher | : |
Total Pages | : 1011 |
Release | : 2017-06-23 |
Genre | : Stockbrokers |
ISBN | : 9780769891972 |
Download Broker-Dealer Regulation Book in PDF, Epub and Kindle
Author | : Norman S. Poser |
Publisher | : Aspen Publishers |
Total Pages | : 966 |
Release | : 1997 |
Genre | : Stockbrokers |
ISBN | : |
Download Broker-dealer Law and Regulation Book in PDF, Epub and Kindle
From duties under the common law to obligations imposed by the federal securities statutes, The new Second Edition of BROKER-DEALER LAW AND REGULATION covers the full range of the law that protects the relationship between broker-dealers and their customers. This recent update includes not only private rights of action, but also securities arbitration and mediation. Whether you represent a brokerage firm or securities dealer, An employee of the firm or a customer, you'll find insightful analysis of the law and practical, expert advice on such crucial issues as 'Churning' customers' accounts Unsuitable recommendations Unauthorized trading Market manipulation Vicarious liability Defenses that may be asserted against broker-dealers Compensatory and punitive damages Liability of controlling persons Rules of self-regulatory organizations Securities arbitration Mediation of securities disputes Conflicts of interest Appendices containing both the Federal Arbitration Act And The NASD Code of Arbitration Procedure BROKER-DEALER LAW AND REGULATION is also the only available source that fully discusses breach of fiduciary duty and other possible state law claims, which are now much more important under the narrowed scope of SEC Rule 10b-5.
Author | : David A. Lipton |
Publisher | : |
Total Pages | : 904 |
Release | : 2008 |
Genre | : Securities |
ISBN | : |
Download Broker Dealer Regulation Book in PDF, Epub and Kindle
Author | : Poser, Fanto, Gross |
Publisher | : Wolters Kluwer Law & Business |
Total Pages | : 1920 |
Release | : |
Genre | : Stockbrokers |
ISBN | : 1543804969 |
Download Broker-Dealer Law and Regulation, 5th Edition Book in PDF, Epub and Kindle
Author | : Norman S. Poser |
Publisher | : Aspen Publishers |
Total Pages | : 100 |
Release | : 1995 |
Genre | : Brokers |
ISBN | : |
Download Broker-dealer Law and Regulation Book in PDF, Epub and Kindle
Author | : Steven Lofchie |
Publisher | : |
Total Pages | : 808 |
Release | : 2000-10-01 |
Genre | : Brokers |
ISBN | : 9780970106711 |
Download A Guide to Broker-Dealer Regulation Book in PDF, Epub and Kindle
Author | : Clifford E. Kirsch |
Publisher | : |
Total Pages | : 0 |
Release | : 2006 |
Genre | : Business & Economics |
ISBN | : 9781402407710 |
Download Investment Adviser Regulation Book in PDF, Epub and Kindle
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Author | : Thomas Lee Hazen |
Publisher | : West Group Publishing |
Total Pages | : 1194 |
Release | : 2002 |
Genre | : Business & Economics |
ISBN | : |
Download The Law of Securities Regulation Book in PDF, Epub and Kindle
"This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--P. ix.