The Resource Broker-dealer registration : demystifying the process, Linda Lerner, Eden L. Rohrer (Crowell & Moring LLP), Scott D. Daniels (The SDDCO Group)

Broker-dealer registration : demystifying the process, Linda Lerner, Eden L. Rohrer (Crowell & Moring LLP), Scott D. Daniels (The SDDCO Group)

Label
Broker-dealer registration : demystifying the process
Title
Broker-dealer registration
Title remainder
demystifying the process
Statement of responsibility
Linda Lerner, Eden L. Rohrer (Crowell & Moring LLP), Scott D. Daniels (The SDDCO Group)
Creator
Contributor
Author
Issuing body
Subject
Genre
Language
eng
Summary
"... reviews the regulatory and business considerations involved in the establishment and registration of a broker-dealer. The portfolio begins with a discussion of the definitions of brokers and dealers, including analysis of the applicability of the broker-dealer registration requirements. Subsequent chapters cover, among other matters, the necessary steps for setting up the business, establishing a business plan, the application for FINRA membership, exchange and SIPC memberships, operational and personnel matters and FINRA review and approval of the membership application. The portfolio concludes with a discussion of FINRA's continuing membership application process."
Member of
Cataloging source
BNA
Characteristic
updating web site
http://library.link/vocab/creatorName
Lerner, Linda
Entry convention
integrated entry
LC call number
KF1434
LC item number
.S43 no. 381
Nature of contents
  • dictionaries
  • bibliography
Regularity
complete irregular
http://library.link/vocab/relatedWorkOrContributorName
  • Rohrer, Eden L.
  • Daniels, Scott D.
  • Bloomberg BNA
Series statement
Securities practice portfolio series
Series volume
portfolio 381
http://library.link/vocab/subjectName
  • Financial Industry Regulatory Authority
  • Stockbrokers
Label
Broker-dealer registration : demystifying the process, Linda Lerner, Eden L. Rohrer (Crowell & Moring LLP), Scott D. Daniels (The SDDCO Group)
Instantiates
Publication
Bibliography note
Includes bibliographical references
Carrier category
online resource
Carrier category code
cr
Carrier MARC source
rdacarrier
Color
mixed
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
Detailed analysis. Introduction -- Broker-dealers : who needs to register -- Setting up the business in general -- Starting the registration process -- The business plan -- Written supervisory procedures -- SIPC membership application -- Other registrations -- Material contracts -- Registration with Securities Information Center's Lost and Stolen Securities Program -- Fidelity bond requirement -- Continuing education -- Personnel -- The FINRA review process -- The membership agreement -- Continuing membership application process
Dimensions
unknown
Extent
1 online resource.
Form of item
online
Media category
computer
Media MARC source
rdamedia
Media type code
c
Publication frequency
Updated irregularly
Specific material designation
remote
System control number
(OCoLC)910519081
Label
Broker-dealer registration : demystifying the process, Linda Lerner, Eden L. Rohrer (Crowell & Moring LLP), Scott D. Daniels (The SDDCO Group)
Publication
Bibliography note
Includes bibliographical references
Carrier category
online resource
Carrier category code
cr
Carrier MARC source
rdacarrier
Color
mixed
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
Detailed analysis. Introduction -- Broker-dealers : who needs to register -- Setting up the business in general -- Starting the registration process -- The business plan -- Written supervisory procedures -- SIPC membership application -- Other registrations -- Material contracts -- Registration with Securities Information Center's Lost and Stolen Securities Program -- Fidelity bond requirement -- Continuing education -- Personnel -- The FINRA review process -- The membership agreement -- Continuing membership application process
Dimensions
unknown
Extent
1 online resource.
Form of item
online
Media category
computer
Media MARC source
rdamedia
Media type code
c
Publication frequency
Updated irregularly
Specific material designation
remote
System control number
(OCoLC)910519081
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