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Broker-Dealer Regulation « Cases and Analysis

Broker-Dealer Regulation: Cases and Analysis is designed to integrate the teaching of theory, doctrine, and practice.  The book encourages active learning by allowing students to grapple with real-world, context-based problem solving and presents a multi-disciplinary approach to learning because problems that typically arise in broker-dealer regulation require both legal and business-related knowledge and skills to…

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Broker-Dealer Regulation « Cases and Analysis | bdregulation.com Reviews

https://bdregulation.com

Broker-Dealer Regulation: Cases and Analysis is designed to integrate the teaching of theory, doctrine, and practice.  The book encourages active learning by allowing students to grapple with real-world, context-based problem solving and presents a multi-disciplinary approach to learning because problems that typically arise in broker-dealer regulation require both legal and business-related knowledge and skills to…

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Authors « Broker-Dealer Regulation

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Professor Cheryl Nichols is a member of the faculty of the Howard University School of law, where she as taught courses on securities regulation, broker-dealer regulation, diversity and global capital markets, and commercial law since 2004. Professor Nichols teaches and writes about international and domestic securities regulation, broker/dealer regulation, securities enforcement, corporate law and diversity in the financial services industry. Leave a Reply Cancel reply. Enter your comment here. Build a ...

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New Site Up « Broker-Dealer Regulation

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Raquo; New Site Up. Ok… we are live… stay tuned for more content. June 1, 2013. Leave a Reply Cancel reply. Enter your comment here. Fill in your details below or click an icon to log in:. Address never made public). You are commenting using your WordPress.com account. ( Log Out. You are commenting using your Twitter account. ( Log Out. You are commenting using your Facebook account. ( Log Out. You are commenting using your Google account. ( Log Out. Notify me of new comments via email.

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About « Broker-Dealer Regulation

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Chapter 1: Introduction to the Securities Industry and the Role of Broker-Dealers. Chapter 2: Broker-Dealer Business. Part II–Broker-Dealer Registration and Supervision Requirements. Chapter 4: Supervision Requirements. Chapter 5: Record keeping and Reporting. Chapter 6: Market Regulation. Part IV: Broker-Dealers and Public Offering of Securities. Chapter 7: Broker-Dealers and Public Offerings of Securities. Chapter 8: Liability of Broker-Dealers in Public Offerings. Chapter 9: Net Capital Requirements.

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Broker-Dealer Regulation « Cases and Analysis

Broker-Dealer Regulation: Cases and Analysis is designed to integrate the teaching of theory, doctrine, and practice. The book encourages active learning by allowing students to grapple with real-world, context-based problem solving and presents a multi-disciplinary approach to learning because problems that typically arise in broker-dealer regulation require both legal and business-related knowledge and skills to resolve. Ok… we are live… stay tuned for more content. Blog at WordPress.com.

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