Broker-dealer registration : demystifying the process /
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| Author / Creator: | Lerner, Linda, author. |
|---|---|
| Imprint: | [Arlington, Va.] : Bloomberg BNA, [2014?]- |
| Description: | 1 online resource |
| Language: | English |
| Series: | Securities practice portfolio series ; portfolio 381 Securities practice portfolio series ; 381. |
| Subject: | |
| Format: | E-Resource Journal |
| URL for this record: | http://pi.lib.uchicago.edu/1001/cat/bib/11805073 |
MARC
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| 050 | 4 | |a XXKF1434 |b .S43 no. 381 | |
| 049 | |a BNAM | ||
| 100 | 1 | |a Lerner, Linda, |e author. |0 http://id.loc.gov/authorities/names/no2002036825 |1 http://viaf.org/viaf/63674809 | |
| 245 | 1 | 0 | |a Broker-dealer registration : |b demystifying the process / |c Linda Lerner, Eden L. Rohrer (Crowell & Moring LLP), Scott D. Daniels (The SDDCO Group). |
| 264 | 1 | |a [Arlington, Va.] : |b Bloomberg BNA, |c [2014?]- | |
| 300 | |a 1 online resource | ||
| 310 | |a Updated irregularly | ||
| 336 | |a text |b txt |2 rdacontent |0 http://id.loc.gov/vocabulary/contentTypes/txt | ||
| 337 | |a computer |b c |2 rdamedia |0 http://id.loc.gov/vocabulary/mediaTypes/c | ||
| 338 | |a online resource |b cr |2 rdacarrier |0 http://id.loc.gov/vocabulary/carriers/cr | ||
| 490 | 1 | |a Securities practice portfolio series ; |v portfolio 381 | |
| 520 | |a "... reviews the regulatory and business considerations involved in the establishment and registration of a broker-dealer. The portfolio begins with a discussion of the definitions of brokers and dealers, including analysis of the applicability of the broker-dealer registration requirements. Subsequent chapters cover, among other matters, the necessary steps for setting up the business, establishing a business plan, the application for FINRA membership, exchange and SIPC memberships, operational and personnel matters and FINRA review and approval of the membership application. The portfolio concludes with a discussion of FINRA's continuing membership application process." | ||
| 505 | 0 | |a Detailed analysis. Introduction -- Broker-dealers : who needs to register -- Setting up the business in general -- Starting the registration process -- The business plan -- Written supervisory procedures -- SIPC membership application -- Other registrations -- Material contracts -- Registration with Securities Information Center's Lost and Stolen Securities Program -- Fidelity bond requirement -- Continuing education -- Personnel -- The FINRA review process -- The membership agreement -- Continuing membership application process. | |
| 504 | |a Includes bibliographical references. | ||
| 588 | |a Description based on contents viewed on May 29, 2015; title from portfolio description screen. | ||
| 610 | 2 | 0 | |a Financial Industry Regulatory Authority. |
| 650 | 0 | |a Stockbrokers |x Legal status, laws, etc. |z United States. | |
| 700 | 1 | |a Rohrer, Eden L., |e author. | |
| 700 | 1 | |a Daniels, Scott D., |e author. | |
| 710 | 2 | |a Bloomberg BNA, |e issuing body. |1 http://viaf.org/viaf/276568542 | |
| 830 | 0 | |a Securities practice portfolio series ; |v 381. |x 2372-1529 | |
| 856 | 4 | 0 | |u https://www.bloomberglaw.com/browser/105.484382 |y Bloomberg Law |z Restricted to University of Chicago Law School users |
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| 929 | |a etemp | ||
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| 928 | |t Library of Congress classification |a XXKF1434 .S43 no. 381 |l Online |c UC-FullText |n Restricted to University of Chicago Law School users |u https://www.bloomberglaw.com/browser/105.484382 |z Bloomberg Law |g ebooks |i 12171033 | ||