Course Handbook  Course Handbook

Fundamentals of Broker-Dealer Regulation 2017

Publication Date: July 2017 Number of Volumes: 1
ISBN Number: 9781402429439 Page Count: 262 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1: U.S. Securities and Exchange Commission, Division of Trading and Markets, Guide to Broker-Dealer Registration (December 12, 2016) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 2: An Overview of the Broker-Dealer Regulatory Framework (May 8, 2017) David F Freeman ~ Arnold & Porter, Kaye Scholer LLP
Chapter 3: State Registration of Broker-Dealers G. Philip Rutledge ~ Bybel Rutledge LLP
Chapter 4: The Customer Relationship (May 8, 2017) Susan S Krawczyk ~ Eversheds Sutherland (US) LLP
Chapter 5: Practical Considerations Regarding the Establishment and Maintenance of the Broker-Dealer Supervisory Framework Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 6: Recent Developments Relating to Rules 15c3-1 and 15c3-3 Under the Securities Exchange Act of 1934 (May 23, 2017) Jack P Drogin ~ Schiff Hardin LLP
Mark M Attar ~ Schiff Hardin LLP
Chapter 7: Broker-Dealer Trading Issues (May 10, 2017) William D Edick ~ Pickard Djinis and Pisarri LLP
Chapter 8: Broker-Dealer Exam Priorities and Hot Topics (May 8, 2017) Lee A Schneider ~ General Counsel, Debevoise & Plimpton LLP
Index

This Course Handbook was compiled for the program, Fundamentals of Broker-Dealer Regulation 2017.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Clifford E Kirsch, Eversheds Sutherland (US) LLP
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