Faithin Omaha eBook Collection

Download or read book Broker Dealer Operations Under Securities and Commodities Law written by Jerry W. Markham and published by . This book was released on 1998-01-12 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.