Author: Steven LofchiePublisher:
ISBN: 9780970106711
Category : Brokers
Languages : en
Pages : 808
Book Description
A Guide to Broker-Dealer Regulation
Author: Steven LofchiePublisher:
ISBN: 9780970106711
Category : Brokers
Languages : en
Pages : 808
Book Description
Broker-dealer Regulation in a Nutshell
Author: Thomas Lee HazenPublisher: West Academic
ISBN: 9780314189578
Category : Law
Languages : en
Pages : 271
Book Description
This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).
Guide to Broker-dealer Compliance
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory CommitteePublisher:
ISBN:
Category : Securities
Languages : en
Pages : 318
Book Description
Practical Guide to Broker-Dealer Regulation
Author: Margaret A. SheehanPublisher: CCH Incorporated
ISBN: 9780808022077
Category : Stockbrokers
Languages : en
Pages : 400
Book Description
U.S. Securities Law for International Financial Transactions and Capital Markets
Author: Guy P. LanderPublisher:
ISBN:
Category : Investments, Foreign
Languages : en
Pages : 1602
Book Description
Accounting Guide
Author: AICPAPublisher: John Wiley & Sons
ISBN: 1948306662
Category : Business & Economics
Languages : en
Pages : 464
Book Description
It is critical to understand the complexities of the specialized accounting and regulatory requirements needed for the broker-dealer industry. This comprehensive guide has been designed to be beneficial for a wide range of professionals within the broker-dealer industry. Updates to this edition are to conform the content to current accounting standards and regulatory requirements. The updates include: SEC Release No. 34-86073, Amendment to Single Issuer Exemption for Broker-Dealers; ASU No. 2018-09, Codification Improvements; and, SEC Release Nos. 33-10532; 34-83875; IC-33203, Disclosure Update and Simplification. In addition, this edition features a new example disclosure note for revenue from contracts with customers, which has been added to the guide's illustrative financial statements and footnote disclosures.
Guide to Broker-dealer Registration
Author: Broker-dealers and Securities Markets
Author: Sheldon M. JaffePublisher:
ISBN:
Category : Brokers
Languages : en
Pages : 472
Book Description
Investment Adviser Regulation
Author: Clifford E. KirschPublisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0
Book Description
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Securities Law Compliance
Author: Allan H. PessinPublisher: Irwin Professional Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 488
Book Description