Broker-dealer regulation /
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| Imprint: | New York City : Practising Law Institute, c2004-c2010. |
|---|---|
| Description: | 2 v. (loose-leaf) ; 26 cm. |
| Language: | English |
| Series: | Practising Law Institute's corporate and securities law library Practising Law Institute's corporate and securities law library. |
| Subject: | |
| Format: | Print Journal |
| URL for this record: | http://pi.lib.uchicago.edu/1001/cat/bib/8379075 |
MARC
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| 245 | 0 | 0 | |a Broker-dealer regulation / |c edited by Clifford E. Kirsch. |
| 260 | |a New York City : |b Practising Law Institute, |c c2004-c2010. | ||
| 300 | |a 2 v. (loose-leaf) ; |c 26 cm. | ||
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| 490 | 1 | |a Practising Law Institute's corporate and securities law library | |
| 505 | 0 | 0 | |t Introduction / |r Clifford E. Kirsch -- |t Broker-dealer and associated person registration / |r Frederick Wertheim -- |t Duty to supervise / |r David F. Freeman, Jr. & Kevin A. Zambrowicz -- |t Establishment and maintenance of a supervisory structure / |r Ben A. Indek -- |t Supervision of registered representatives' outside business activities / |r David F. Freeman & Kevin A. Zambrowicz -- |t Customer transactions: suitability, unauthorized trading, and churning / |r Charles R. Mills & Ronald A. Holinsky -- |t Advertising and communications / |r John R. Hewitt -- |t Customer accounts / |r Susan Krawczyk -- |t Compensation / |r Susan Krawczyk -- |t Mark-ups / |r Brendan Becker, Todd E. Wiench, Stephanie Nicolas & Claire Hanselmann -- |t Insider trading / |r Seth Taube -- |t Ressearch analysts / |r John T. Bostelman -- |t Best execution and customer order handling / |r Marcia L. MacHarg & George Braxton Raine -- |t Soft dollars and other means of obtaining business / |r Andrew L. Bab & Kenneth J. Berman -- |t Financial obligations - net capital, customer protection, and financial reporting / |r Elliott R. Curzon -- |t Margin and extensions of credit: an overview / |r Elliott R. Curzon -- |t Clearing broker liability and responsibilities / |r Harry S. Davis, Betty Santangelo & Jess Velona -- |t Anti-money laundering regulation of broker-dealers / |r Betty Santangelo, Sung-Hee Suh & Margaret Jacobs -- |t Privacy of client financial information / |r Brandon Becker & Jerome J. Roche -- |t Regulatory reporting requirements / |r Seth Taube -- |t Business continuity planning / |r Clifford E. Kirsch -- |t Record keeping / |r John R. Hewitt -- |t SEC and SRO inspections / |r Clifford E. Kirsch & Holly H. Smith -- |t SEC and SRO enforcement / |r Richard D. Marshall & Sean E. Kreiger. |
| 650 | 0 | |a Stockbrokers |x Legal status, laws, etc. |z United States. |0 http://id.loc.gov/authorities/subjects/sh2008111446 | |
| 650 | 0 | |a Investment advisors |x Legal status, laws, etc. |z United States. |0 http://id.loc.gov/authorities/subjects/sh2008104882 | |
| 650 | 0 | |a Securities |z United States. |0 http://id.loc.gov/authorities/subjects/sh2010111900 | |
| 650 | 7 | |a Investment advisors |x Legal status, laws, etc. |2 fast |0 http://id.worldcat.org/fast/fst00978170 | |
| 650 | 7 | |a Securities. |2 fast |0 http://id.worldcat.org/fast/fst01110743 | |
| 650 | 7 | |a Stockbrokers |x Legal status, laws, etc. |2 fast |0 http://id.worldcat.org/fast/fst01133669 | |
| 651 | 7 | |a United States. |2 fast |0 http://id.worldcat.org/fast/fst01204155 | |
| 700 | 1 | |a Kirsch, Clifford E. |0 http://id.loc.gov/authorities/names/n96028333 |1 http://viaf.org/viaf/25685298/ | |
| 830 | 0 | |a Practising Law Institute's corporate and securities law library. |0 http://id.loc.gov/authorities/names/n90723212 | |
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