PART A INTRODUCTION AND REGULATORY BACKGROUND
1. Introduction to Broker-Dealers in the Securities Industry
2. Broker-Dealers Within Financial Conglomerates
3. Broker-Dealers in the Securities Markets
4. An Overview of the Regulatory System Affecting Broker-Dealers
5. SEC and SRO Enforcement and Disciplinary Proceedings Involving Broker-Dealers
6. Broker Compensation and Conflicts of Interest
PART B REGISTRATION, REGULATION AND COMPLIANCE
7. Broker-Dealer Registration and Exemptions
8. Broker-Dealer and Associated Person Registration Process
9. Broker Recordkeeping, Reporting, and Examinations
10. Financial Regulation of Broker-Dealers
11. Privacy and Anti-Money Laundering Regulation in Broker-Dealers
12. Broker-Dealer Advertising Regulation
13. The Broker-Dealer’s Duty to Supervise
14. Broker-Dealers in Public and Private Offerings
PART C BROKER-DEALER DUTIES AND CUSTOMER PRIVATE RIGHTS OF ACTION
15. Broker-Dealers’ Duties to Customers
16. The Suitability Doctrine
17. Liability of Broker-Dealers Under State Law
18. Federal Statutory Claims Against Broker-Dealers
19. Vicarious Liability
20. Common Defenses in Actions Against Broker-Dealers
PART D ARBITRATION OF SECURITIES DISPUTES
26. Arbitration in the Securities Industry
27. The Law Governing Arbitration Agreements
28. The FINRA Arbitration Process
30. Judicial Review of Arbitral Awards
Table of Cases
Table of Statutes, Rules and Other Sources
Index
