Book
Broker-Dealer Operations and Regulation Under Securities and Commodities Laws
Faculty Books
Excerpt
The two-volume Broker-Dealer Operations Under Securities and Commodities Law is a guide to broker-dealer back-office operational issues and supervisory responsibilities. Issues covered include: • Sales practices, including suitability and churning • Market abuses and best execution requirements • Broker-dealer registration requirements • Employees' sexual harassment and discrimination claims • Regulatory structure imposed by federal regulators upon broker-dealers • Retention requirements via books, record keeping, and financial reporting requirements • Arbitration of broker-dealer disputes
Description
v. (loose-leaf) ; 24 cm
ISBN
0876323921
Publication Date
1-1-2002
Publisher
Thomson/West
Keywords
- Commodity exchanges,
- Law and legislation,
- Stockbrokers,
- Legal status,
- laws,
- United States
Disciplines
Citation Information
Jerry W. Markham. Broker-Dealer Operations and Regulation Under Securities and Commodities Laws. St. Paul, MN(2002) Available at: http://works.bepress.com/jerry_markham/70/
2nd ed. ( v.23-23A). Includes bibliographical references and index.