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Broker-Dealer Regulation (October 2016 Edition): 4

Clifford E. Kirsch




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 | #1529487 in eBooks |  2016-10-19 |  2016-10-19 | File type: PDF

||0 of 0 people found the following review helpful.| Five Stars|By TAD|Overall great experience

Updated to include coverage of the significant FINRA and SEC responses to the economic downturn, the new second edition of Broker-Dealer Regulation provides you with a complete and practical understanding of the many requirements of this highly regulated area. This two-volume work ensures that you satisfy SEC/SRO standards governing your firm, with detailed coverage of:

  • Registration reporting and recordkeeping rules
  • Suitability and best execution st...

    You easily download any file type for your gadget.Broker-Dealer Regulation (October 2016 Edition): 4   |  Clifford E. Kirsch. I was recommended this book by a dear friend of mine.

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