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Broker-Dealer Regulation--2005

These materials cover broker-dealer identification, IPO practices, mutual funds, state regulation, litigation and enforcement, risk management, corporate governance, conflicts of interest, fixed-income market transparency, and recent developments in the regulatory landscape. CK044

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Coursebook Papers:

Differences Between Brokers and Finders (24 pp) $29.00

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Regulation B: SEC Rules Governing Certain Bank Securities Broker Activities (45 pp) $29.00

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SEC Rule 15a-b Outline (10 pp) $29.00

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Dealer Overview (10 pp) $29.00

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Memorandum: Re: SEC Proposes Major Reforms for Registered Securities Offerings (80 pp) $39.00

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Corporate Governance as a Risk Matter (8 pp) $29.00

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A Review of the Analyst Independence Regulatory and Litigation Develpments (18 pp) $29.00

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NASD Releases (40 pp)

Recent Developments in Fixed-Income Market Transparency (6 pp) $29.00

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Mark-Ups (64 pp) $39.00

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Global Documentation Steering Committee (20 pp) $29.00

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Managing Conflicts of Interest (14 pp)

The Post-Canary Fund Regulatory Deluge (48 pp) $29.00

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Coursebook Subscription - Securities
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