Broker Dealer Regulation. 2 Vols. Current through rel. 28/Dec. 2015

Lipton, David A.

Publication Date: 2015
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Vols. 15, 15A of the Securities Law Series. [Securities Law]. Broker Dealer Regulation. David A. Lipton. Thomson Reuters. 2 Volumes. Securities Law Series Volumes 15 and 15A. Looseleaf format. Current through release 28/December 2015 Ex-private law firm library with location labels at foot of spines, else very good. Publisher's Price USD 1,930. Special $50. * Provides insight into broker-dealers' duties, prohibitions, disclosure requirements, financial and record retention responsibilities, sanctions for performance failures, and client/broker dispute resolution forums. In addition to functions, this treatise discusses broker-dealer liability, the definition of an underwriter, state (blue sky) law, self-regulatory organization rules, and the basics of registration. Bookseller Inventory # 65624

Bibliographic Details

Title: Broker Dealer Regulation. 2 Vols. Current ...
Publication Date: 2015
Illustrator: Vols. 15, 15A of the Securities Law Series

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