Broker Dealer Operations Under Securities and Commodities Law


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.







Investor and Industry Perspectives on Investment Advisers and Broker-Dealers


Book Description

In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investment adviser provides advice to others regarding securities. Different laws regulate each type of professional, but boundaries have blurred. This report examines current business practices and investor understanding of each type.










Risk-Based Capital


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Research Handbook on Securities Regulation in the United States


Book Description

This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute







Federal Securities Law


Book Description