The Resource Broker-dealer regulation, edited by Clifford E. Kirsch

Broker-dealer regulation, edited by Clifford E. Kirsch

Label
Broker-dealer regulation
Title
Broker-dealer regulation
Statement of responsibility
edited by Clifford E. Kirsch
Contributor
Subject
Genre
Language
eng
Member of
Cataloging source
BNA
Characteristic
updating web site
Entry convention
integrated entry
Frequency
annual
LC call number
KF1071
LC item number
.B772 (INTERNET)
Nature of contents
dictionaries
Original alphabet or script of title
basic roman
Regularity
regular
http://library.link/vocab/relatedWorkOrContributorName
  • Kirsch, Clifford E
  • Practising Law Institute
Series statement
Practising Law Institute's corporate and securities law library
http://library.link/vocab/subjectName
  • Stockbrokers
  • Investment advisors
  • Securities
Label
Broker-dealer regulation, edited by Clifford E. Kirsch
Instantiates
Publication
Note
  • "#32789."
  • Includes index
Color
mixed
Contents
  • Supervision of Registered Representatives' Outside Business Activities
  • Standard of Care
  • Customer Transactions: Suitability, Unauthorized Trading, and Churning
  • Advertising and Communications
  • Customer Accounts
  • Compensation
  • Mark Ups
  • Insider Trading
  • Research Analysts
  • Electronic Trading
  • Introduction
  • Best Execution and Customer Order Handling
  • Soft Dollars and Other Means of Obtaining Business
  • Trading Desk Activities
  • Financial Obligations Net Capital, Customer Protection, and Financial Reporting
  • Margin and Extensions of Credit: An Overview
  • Clearing Broker Liability and Responsibilities
  • Clearing Arrangements for Introducing Broker Dealers; And Appendix 25A: FINRA Rule 4311; And Appendix 25B: SEC Rule 15c3 5
  • Anti Money Laundering Regulations Applicable to Broker Dealers
  • Privacy of Client Financial Information
  • Practical Implications Regarding the Safeguarding of Customer Information
  • What Is a Broker Dealer?; And Appendix 2A: Definition of "Swap," "Swap Agreement" and "Security Based Swap Agreement"
  • Regulatory Reporting Requirements; And Appendices 29A 29D
  • Business Continuity Planning
  • Outsourcing by Financial Services Firms
  • Broker Dealer Compliance Programs; And Appendices 32A 32C
  • Record Keeping
  • SEC and FINRA Inspections
  • SEC and FINRA Enforcement
  • Handling SEC/SRO Investigations; And Appendices 36A 36I
  • State Broker Dealer Record Keeping, Examinations and Enforcement; And Appendix 37A: NASAA Statement of Policy
  • Designing a Political Law Compliance Program for Broker Dealers and Advisers
  • Brokers, Dealers and "Finders"
  • Broker Dealer Regulation of Municipal Authority
  • Municipal Advisor Regulation
  • SEC and CFTC Whistleblower Rules and Anti Retaliation Protections
  • ERISA Compliance Issues for Broker Dealers
  • Arbitration of a Securities Customer Dispute Before FINRA A Primer on the Practice
  • Table of Cases
  • Bank Exemptions from Broker Dealer Regulation
  • Broker Dealer and Associated Person Registration
  • Duty to Supervise
  • Establishment and Maintenance of a Supervisory Structure
  • Branch Office Supervision
  • Compensation practices
  • Part V :
  • Regulation of information
  • Part VI :
  • Trading practices --
  • v. 2.
  • Part VII :
  • Financial and operation activities
  • Part VIII :
  • Compliance, examinations, and enforcement
  • v.1.
  • Part IX :
  • The Municipal marketplace
  • Part X :
  • Special topics
  • Part I :
  • Introduction, broker-dealer status and registration
  • Part II :
  • Supervisory requirements
  • Part III.
  • The Customer relationship
  • Part IV :
Dimensions
unknown
Edition
2nd ed
Extent
1 online resource
Form of item
online
Publication frequency
Updated annually
Specific material designation
remote
System control number
(OCoLC)823655481
Label
Broker-dealer regulation, edited by Clifford E. Kirsch
Publication
Note
  • "#32789."
  • Includes index
Color
mixed
Contents
  • Supervision of Registered Representatives' Outside Business Activities
  • Standard of Care
  • Customer Transactions: Suitability, Unauthorized Trading, and Churning
  • Advertising and Communications
  • Customer Accounts
  • Compensation
  • Mark Ups
  • Insider Trading
  • Research Analysts
  • Electronic Trading
  • Introduction
  • Best Execution and Customer Order Handling
  • Soft Dollars and Other Means of Obtaining Business
  • Trading Desk Activities
  • Financial Obligations Net Capital, Customer Protection, and Financial Reporting
  • Margin and Extensions of Credit: An Overview
  • Clearing Broker Liability and Responsibilities
  • Clearing Arrangements for Introducing Broker Dealers; And Appendix 25A: FINRA Rule 4311; And Appendix 25B: SEC Rule 15c3 5
  • Anti Money Laundering Regulations Applicable to Broker Dealers
  • Privacy of Client Financial Information
  • Practical Implications Regarding the Safeguarding of Customer Information
  • What Is a Broker Dealer?; And Appendix 2A: Definition of "Swap," "Swap Agreement" and "Security Based Swap Agreement"
  • Regulatory Reporting Requirements; And Appendices 29A 29D
  • Business Continuity Planning
  • Outsourcing by Financial Services Firms
  • Broker Dealer Compliance Programs; And Appendices 32A 32C
  • Record Keeping
  • SEC and FINRA Inspections
  • SEC and FINRA Enforcement
  • Handling SEC/SRO Investigations; And Appendices 36A 36I
  • State Broker Dealer Record Keeping, Examinations and Enforcement; And Appendix 37A: NASAA Statement of Policy
  • Designing a Political Law Compliance Program for Broker Dealers and Advisers
  • Brokers, Dealers and "Finders"
  • Broker Dealer Regulation of Municipal Authority
  • Municipal Advisor Regulation
  • SEC and CFTC Whistleblower Rules and Anti Retaliation Protections
  • ERISA Compliance Issues for Broker Dealers
  • Arbitration of a Securities Customer Dispute Before FINRA A Primer on the Practice
  • Table of Cases
  • Bank Exemptions from Broker Dealer Regulation
  • Broker Dealer and Associated Person Registration
  • Duty to Supervise
  • Establishment and Maintenance of a Supervisory Structure
  • Branch Office Supervision
  • Compensation practices
  • Part V :
  • Regulation of information
  • Part VI :
  • Trading practices --
  • v. 2.
  • Part VII :
  • Financial and operation activities
  • Part VIII :
  • Compliance, examinations, and enforcement
  • v.1.
  • Part IX :
  • The Municipal marketplace
  • Part X :
  • Special topics
  • Part I :
  • Introduction, broker-dealer status and registration
  • Part II :
  • Supervisory requirements
  • Part III.
  • The Customer relationship
  • Part IV :
Dimensions
unknown
Edition
2nd ed
Extent
1 online resource
Form of item
online
Publication frequency
Updated annually
Specific material designation
remote
System control number
(OCoLC)823655481

Library Locations

    • Biddle Law LibraryBorrow it
      3400 Chestnut Street, Philadelphia, Pennsylvania, 19104, US
      39.954941 -75.193362
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