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Broker-Dealer Regulation (Second Edition)

Treatise  Treatise

Published: November 2011
Last Updated: September 2018

Updated to ensure coverage of the latest laws and regulations governing broker-dealers, the second edition of Broker-Dealer Regulation provides comprehensive and practical overview of the many requirements of this highly regulated area. This two-volume work instructs on how brokerage firms can satisfy SEC/SRO standards, with detailed coverage of: Registration reporting and record-keeping rules Suitability and best execution standards ...

Hedge Fund Regulation (2nd Edition)

Treatise  Treatise

Published: November 2012
Last Updated: October 2018

Covering one of the most dynamic and rapidly changing sectors of the asset management industry, Hedge Fund Regulation, is designed to provide comprehensive understanding of hedge funds, from their history and investment strategies to the legal and compliance considerations affecting their structuring, management and market activities. It provides a single source that examines all aspects of these innovative investment vehicles and addresses current ...

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