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Trading Practices

Recorded on: Jul. 3, 2012
Running Time: 00:57:30

Full Transcript:


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Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2012 recorded June, 2012 in New York.

Lecture Topics  [00:57:30]

Trading Practices  [00:57:30]
  • Best execution and order handling
  • Trade reporting obligations
  • Electronic trading
The purchase price of this segment includes the following article from the Course Handbook available online:
  • PwC Financial Services Regulatory Practice: How We Can Help Broker-Dealers
    A. Duer Meehan
  • PwC FS Regulatory Brief: SEC Issues Exemptions from the Large Trader Reporting Rule
    A. Duer Meehan
  • PwC FS Regulatory Brief: The SEC's New Large Trader Reporting Requirements Place New Regulatory Obligations on Both Asset Managers and Broker-Dealers
    A. Duer Meehan
  • PwC FS Regulatory Brief: New SEC Rule 15c3-5 Bans Unfiltered Market Access, Creates New CEO Certification, Risk Management, Supervisory and Compliance, and Operational Obligations for Broker-Dealers
    A. Duer Meehan
  • Navigating Risk in the High-Frequency Trading Environment
    A. Duer Meehan
  • Regulation of Broker-Dealers: Summary Overview & Selected Recent Developments
    P. Georgia Bullitt
Speaker(s)
P. Georgia Bullitt ~ Morgan, Lewis & Bockius LLP
A. Duer Meehan ~ Financial Services Regulatory Practice, PricewaterhouseCoopers
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