 | Broker-Dealer Regulation
by Kirsch
Edition/Year: 1st ed., 2004 w/updates*
ISBN: 9781402405419
Format: Binder/Looseleaf
SKU: atty20019
Our Low Price: $271.95 | | Availability: This item ships within 1 to 2 business days. | Offering chapters on state regulation of broker-dealers and on handling SEC/SRO investigations, Broker-Dealer Regulation, a Practising Law Institute title, gives you the total, targeted guidance that ensures you comply with all SEC, NYSE, NASD, and MSRB standards governing your firm.
With Broker-Dealer Regulation, you’ll more quickly and easily:
Meet registration, reporting, and recordkeeping requirements;
Satisfy suitability and best execution standards;
Detect and prevent wrongdoing by crafting a tailor-made program of risk assessment, supervision, and internal controls;
Minimize liability in the event of lapses, by documenting good-faith compliance efforts;
Structure legally sound soft-dollar arrangements;
Satisfy anti-money-laundering standards;
Meet new NASD business continuity disclosure guidelines; and
Use effective affirmative defenses when legal battles end up in court.
Broker-Dealer Regulation also offers a chapter on state broker-dealer recordkeeping, examinations, and enforcement, a new section on the Gruttadauria enforcement case and 2004 amendments to NASD/NYSE supervisory rules, which require more effective control systems over supervisors who are involved in sales, and expanded sections on the NASD’s new “best practices” recommendations for the review and supervision of new and changing products and services, sweeping changes to several trading centers as a result of the new Regulation NMS, and the new “order protection rule” created by Regulation NMS.
Summary of Contents:
Registration;
Supervisory Requirements;
The Customer Relationship;
Compensation Practices;
Regulation of Conflicts;
Trading Practices;
Financial and Operational Activities;
Compliance and Enforcement.
*Important! Supplement Update Policy: Like most attorney-practitioner titles, this item may be supplemented from time to time with updates by the publisher in order to reflect any changes in the legal topic area covered. These updates are important in ensuring that your item always reflects the most up-to-date legal information. Your purchase price includes the cost of all previous updates and any updates that may be issued within 60 days of your purchase. After that period, subsequent supplements will be sent to you directly from the publisher for your review and purchase.
Shipping: This item may arrive separately from other items included in your order. |
|
