Description
The two-volume Broker-Dealer Operations Under Securities and Commodities Law is a guide to broker-dealer back-office operational issues and supervisory responsibilities. Issues covered include: Sales practices, including suitability and churning Market abuses and best execution requirements Broker-dealer registration requirements Employees sexual harassment and discrimination claims Regulatory structure imposed by federal regulators upon broker-dealers Retention requirements via books record keeping, and financial reporting requirements Arbitration of broker-dealer disputes This publication also: Details net capital requirements of the Security Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) Includes credit regulations and margin rules Provides SEC and CFTC regulator schedules regarding customer funds protection, use, and segregation Contains a historical perspective on abuses and resulting commodities laws, as well as insight into SEC and CFTC intent
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