Published: November 2011
Last Updated: September 2014
Updated to include coverage of the significant FINRA and SEC responses to the economic downturn, the new second edition of Broker-Dealer Regulation provides you with a complete and practical understanding of the many requirements of this highly regulated area. This two-volume work ensures that you satisfy SEC/SRO standards governing your firm, with detailed coverage of:
Registration reporting and record-keeping rules
Suitability and best execution ...