transcript   Transcript

An Overview of the Broker-Dealer Regulatory Framework

Recorded on: Jul. 23, 2018
Running Time: 01:16:03

Full Transcript:

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Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2018 Recorded July 2018 in New York

An Overview of the Broker-Dealer Regulatory Framework [01:16:03]
  • State regulation
  • SRO regulation
  • FINRA membership
  • The interplay between the SEC, the SROs and the states
  • Current initiatives

Susan S. Krawczyk, G. Philip Rutledge

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • State Registration of Broker-Dealers
    G. Philip Rutledge
Presentation Material
  • Regulation of Broker-Dealers at the Federal Level
    Susan S. Krawczyk
  • State Regulation of Broker-Dealers and Agents
    G. Philip Rutledge
  • (s)
    Susan S. Krawczyk ~ Eversheds Sutherland (US) LLP
    G. Philip Rutledge ~ Bybel Rutledge LLP
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