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.
Clark Boardman Callaghan
Law | Securities Law
Lipton, David A., "Broker-Dealer Regulation" (1988). Faculty Books. 62.