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Broker Dealer Operations under Securities and Commodities Law

Jerry W. Markham, Thomas Lee Hazen (Autoren)

Loseblattwerk

1998
Sweet & Maxwell (Verlag)
978-0-420-61130-7 (ISBN)

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This work is a two-volume treatise that zeroes in on crucial "back-office" operations issues faced by broker-dealers every-day. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations.

This work is a two-volume treatise that zeroes in on crucial "back-office" operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.

Erscheint lt. Verlag	12.1.1998
Reihe/Serie	Securities law series
Verlagsort	London
Sprache	englisch
Themenwelt	Recht / Steuern ► EU / Internationales Recht
	Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht
	Wirtschaft ► Betriebswirtschaft / Management ► Finanzierung
ISBN-10	0-420-61130-4 / 0420611304
ISBN-13	978-0-420-61130-7 / 9780420611307
Zustand	Neuware