From the program: Fundamentals of Broker-Dealer Regulation 2012
Recorded on: Jul. 3, 2012
Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2012 recorded June, 2012 in New York.
Lecture Topics [01:05:23]
Overview of the Regulatory Framework and the Regulators [01:05:23]
Who are the regulators?
The interplay among the SEC, FINRA, MSRB and the states
Registration as a broker-dealer: The Form BD
The purchase price of this segment includes the following article from the Course Handbook ...