transcript   Transcript

The Broker-Dealer Customer Relationship

Recorded on: Jul. 18, 2017
Running Time: 01:00:24

Full Transcript:

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

The Broker-Dealer Customer Relationship [01:00:24]
  • Suitability
  • Rules governing the customer account
  • Disclosure
Caroline K. Hall, Clifford E. Kirsch, Susan S. Krawczyk

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

  • The Customer Relationship (May 8, 2017)
    Susan S. Krawczyk

Presentation Material

  • Fundamentals of Broker-Dealer Regulation – The Customer Relationship
    Susan S. Krawczyk
  • The Broker-Dealer Customer Relationship Standard of Care
    Clifford E. Kirsch
Caroline K Hall ~ Associate General Counsel, Raymond James Financial
Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Susan S Krawczyk ~ Eversheds Sutherland (US) LLP
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