Broker Dealer Operations Under Securities and Commodities Law PDF Download
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Author: Jerry W. Markham Publisher: ISBN: 9780420611307 Category : Languages : en Pages :
Book Description
This work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
Author: Jerry W. Markham Publisher: ISBN: 9780420611307 Category : Languages : en Pages :
Book Description
This work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee Publisher: ISBN: Category : Securities Languages : en Pages : 318
Author: Jerry W. Markham
Author: Jerry W. Markham
Author: Jerry W. Markham
Author: Jerry W. Markham
Author: Jerry W. Markham
Author: Jerry W. Markham
Author: 
Author: 
Author: United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Author: Poser, Fanto, Gross
Author: Norman S. Poser