transcript   Transcript

An Overview of the Broker-Dealer Regulatory Framework

Recorded on: Jul. 18, 2017
Running Time: 01:15:21

Full Transcript:



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Taken from the briefing Fundamentals of Broker-Dealer Regulation 2017 recorded July, 2017 in New York.

An Overview of the Broker-Dealer Regulatory Framework [01:15:21]
  • State regulation
  • SRO regulation
  • FINRA membership
  • The interplay between the SEC, the SROs and the states
  • Current initiatives
(CFE Field of Study: Fraud)
David F. Freeman, Jr., G. Philip Rutledge

The purchase price of this segment includes the following article from the Course Handbook available online:

  • An Overview of the Broker-Dealer Regulatory Framework (May 8, 2017)
    David F. Freeman
  • State Registration of Broker-Dealers
    G. Philip Rutledge

Presentation Material

  • An Overview of the Broker-Dealer Regulatory Framework
    David F. Freeman, Jr.
  • State Regulation of Broker-Dealers and Agents
    G. Philip Rutledge
(s)
David F Freeman ~ Arnold & Porter, Kaye Scholer LLP
G. Philip Rutledge ~ Bybel Rutledge LLP
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