Broker-Dealer Regulation

by Clifford E. Kirsch

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Product Description
Responding quickly to the SEC and NASDs increased scrutiny of brokerage firms in this era of intense regulatory oversight, the new Broker-Dealer Regulation is the first complete and current compliance guide to target these major investment players. Broker-Dealer Regulation helps you to: Satisfy federal and state laws and regulations governing broker-dealers. Comply with rules established by the NASD, NYSE, and other self-regulatory organizations (SROs). Meet "suitability," "best execution," and other duties and responsibilities to clients. Develop a total, customized program of risk assessment, supervision, and internal controls to detect and prevent wrongdoing. Promote your firm within the bounds of specific advertising guidelines. Comply with the different federal and SRO guidelines on the extension of credit. Use successful affirmative defenses against various claims. Avoid negligence, recklessness, unauthorized trading, churning, frontrunning, insider trading, and other legal missteps. Featuring numerous case studies and extensive reviews of SEC no-action letters and enforcement activity, Broker-Dealer Regulation also provides the practical, plain-English guidance that ensures your firm will abide by all anti-money laundering, compensation, client privacy, reporting, and recordkeeping requirements.

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