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Broker-Dealer Regulation

Broker-Dealer Regulation

Description

Broker Dealer Regulation provides a detailed description of the broker-dealer registration process. This timely survey of an increasingly complex and sensitive subject covers: Broker-dealer duties, Broker-dealer prohibitions, Broker-dealer disclosure requirements, Broker-dealer financial and record retention responsibilities, Broker-dealer sanctions for performance failures, Client/broker dispute resolution forums, Broker-dealer liability, The definition of an underwriter, State (blue sky) law, and Self-regulatory organization rules.

ISBN

9780876325995

Publication Date

1988

Publisher

Clark Boardman Callaghan

Disciplines

Law | Securities Law

Broker-Dealer Regulation

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