Broker-Dealer Regulation (2 Volume Set)

Major changes in broker-dealer regulation are imminent as a result of today s financial services crisis. At the same time, broker-dealers and their legal advisers also need a firm grounding in the basic regulatory regime that currently governs the industry. PLI s Broker-Dealer Regulation can ensure you stay up to speed with the many new regulations coming your way and gain a solid, working grasp of today s standards. This essential, accessible reference will show you how FINRA, the newly created single regulatory organization, will continue to develop a single set of securities rules and how that will affect your work. Broker-Dealer Regulation also helps you to satisfy current federal and state registration requirements; suitability, best execution and other essential practice standards (and avoid charges of negligence, recklessness, unauthorized trading, or unsuitable recommendations); rules governing compensation disclosure, and advertising and communication guidelines. Broker-Dealer Regulation also allows you to track the direction of recent regulatory enforcement activity by the SEC, FINRA, and states. Updated at least once a year, Broker-Dealer Regulation is an invaluable resource for broker-dealers, securities attorneys, compliance officers, and regulators.