By Clifford E. Kirsch
- Registration reporting and recordkeeping principles
- Suitability and top execution criteria
- Ways of minimizing legal responsibility within the occasion of felony lapses, by way of documenting good-faith compliance efforts
- The implementation of a tailored compliance software which may support become aware of and forestall unlawful behavior in the company
Broker-Dealer law is packed with useful feedback on the right way to top agree to necessities in such components as digital buying and selling, safeguarding buyer details, buying and selling table actions and company continuity making plans. contemporary updates have lined new FINRA Rule 2111 which governs what are and what usually are not compatible shopper transactions • the SEC’s renewed emphasis on pursuing insider buying and selling claims less than 10b5-2 • the SEC’s lately followed Rule 15c3-5 on allocation among clearing company and introducing dealer in reference to possibility administration controls for clearing businesses supplying industry entry • and a brand new bankruptcy 21A on outsourcing matters for monetary companies firms.
Updated at least one time a yr, Broker-Dealer rules 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