Overview
Updated to ensure coverage of the latest laws and regulations governing broker-dealers, the second edition of Broker-Dealer Regulation provides comprehensive and practical overview of the many requirements of this highly regulated area. This four-volume work instructs on how brokerage firms can satisfy SEC/SRO standards, with detailed coverage of: registration reporting and record-keeping rules; suitability and best execution standards; ways of minimizing liability in the event of legal lapses, by documenting good-faith compliance efforts; and the implementation of a tailor-made compliance program that can help detect and prevent illegal conduct within the firm. Broker-Dealer Regulation is filled with practical suggestions on how to best comply with requirements in such areas as electronic trading, safeguarding customer information, trading desk activities, and business continuity planning. Updated at least once a year, Broker-Dealer Regulation is an invaluable resource for broker-dealers, securities attorneys, compliance officers, and regulators.