Broker Dealer Operations Under Securities and Commodities Law PDF Download
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Author: Jerry W. Markham
Publisher:
ISBN: 9780420611307
Category :
Languages : en
Pages :
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Book Description
This work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
Author: Jerry W. Markham
Publisher:
ISBN: 9780420611307
Category :
Languages : en
Pages :
Get Book
Book Description
This work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
Author: Jerry W. Markham
Publisher: West Group Publishing
ISBN: 9780876323922
Category : Law
Languages : en
Pages :
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Book Description
Author: Jerry W. Markham
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages :
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Book Description
Author:
Publisher:
ISBN:
Category : Stockbrokers
Languages : en
Pages : 534
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Book Description
Author: Poser, Fanto, Gross
Publisher: Wolters Kluwer Law & Business
ISBN: 1543804969
Category : Stockbrokers
Languages : en
Pages : 1920
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Book Description
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
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Book Description
Author: Norman S. Poser
Publisher: Aspen Publishers
ISBN:
Category : Brokers
Languages : en
Pages : 536
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Book Description
Author: Allan H. Pessin
Publisher: Irwin Professional Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 488
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Book Description
Author: Norman S. Poser
Publisher: Aspen Publishers
ISBN: 9780735511231
Category : Law
Languages : en
Pages : 1000
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Book Description
From duties under the common law to obligations imposed by the federal securities statutes, the Third Edition of Broker-Dealer Law and Regulation covers the full range of the law that protects the relationship between broker-dealers and their customers. The Third Edition includes private rights of action, securities arbitration and mediation, and regulation. Whether you represent a brokerage firm or securities dealer, an employee of the firm or a customer, you'll find insightful analysis of the law and practical, expert advice on such crucial issues as: The regulatory framework, especially post-Glass-Steagall -- Broker-Dealer fraud -- Online trading -- Unsuitable recommendations -- Market manipulation -- Vicarious liability -- Defenses in actions against broker-dealers -- Compensatory and punitive damages and attorney's fees -- Rules of self-regulatory organizations -- Securities arbitration -- Mediation of securities disputes -- Conflicts of interest -- Appendices containing both the Federal Arbitration Act and the NASD Code of Arbitration Procedure Broker-Dealer Law and Regulation is also the only available source that fully discusses breach of fiduciary duty and other possible state law claims, which are now much more important under the narrowed scope of SEC Rule 10b-5.
Author: Guy P. Lander
Publisher:
ISBN:
Category : Investments, Foreign
Languages : en
Pages : 1602
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Book Description