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, through documenting good-faith compliance efforts
- The implementation of a tailored compliance software that could aid notice and forestall unlawful behavior in the enterprise
Broker-Dealer rules is jam-packed with useful feedback on the best way to top agree to specifications in such parts as digital buying and selling, safeguarding patron details, buying and selling table actions and company continuity making plans. contemporary updates have coated new FINRA Rule 2111 which governs what are and what usually are not compatible client transactions • the SEC’s renewed emphasis on pursuing insider buying and selling claims below 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 marketplace entry • and a brand new bankruptcy 21A on outsourcing matters for monetary prone firms.
Updated once or more a yr, Broker-Dealer legislation is a useful source for broker-dealers, securities legal professionals, compliance officials, and regulators.
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