By Clifford E. Kirsch
- Registration reporting and recordkeeping principles
- Suitability and most sensible execution criteria
- Ways of minimizing legal responsibility within the occasion of felony lapses, via documenting good-faith compliance efforts
- The implementation of a tailored compliance application that could support observe and forestall unlawful behavior in the company
Broker-Dealer law is choked with functional feedback on easy methods to most sensible conform to standards in such components as digital buying and selling, safeguarding patron details, buying and selling table actions and company continuity making plans. contemporary updates have coated new FINRA Rule 2111 which governs what are and what should not compatible client transactions • the SEC’s renewed emphasis on pursuing insider buying and selling claims below 10b5-2 • the SEC’s lately followed Rule 15c3-5 on allocation among clearing company and introducing dealer in reference to threat administration controls for clearing businesses delivering marketplace entry • and a brand new bankruptcy 21A on outsourcing matters for monetary providers firms.
Updated once or more a 12 months, Broker-Dealer legislation is a useful source for broker-dealers, securities legal professionals, compliance officials, and regulators.
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Broker-Dealer Regulation (October 2016 Edition): 4 by Clifford E. Kirsch