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Broker-Dealer Operations Under Securities and Commodities Law (Vols. 2...

Broker-Dealer Operations Under Securities and Commodities Law (Vols. 23 and 23A, Securities Law Series)

By Thomas Lee Hazen, Jerry W. Markham
Copyright: 2009-2011
Last Updated: 11/4/2011
Availability: In Stock   Details 
Product Details »
Series: Securities Law Series
Brand: Clark Boardman Callaghan
Pages: 4950
Free Update Period: 90 days
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Description

This practical guide gives the user insight into managing broker-dealer back-office operational issues and the supervisory responsibilities inherent in them. Covers regulatory structure, net capital requirements, and more.

Features

  • Details net capital requirement of the Security Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC)
  • Historical perspective on abuses and resulting commodities laws; provides insight into SEC and CFTC intent
  • Includes credit regulations and margin rules
  • Retention requirements for books, record keeping, and financial reporting
  • SEC and CFTC regulator schedule regarding customer funds protection, use, segregation

Summary Of Contents

Filing and Shelving Instructions

Replacement Pages
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