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Basics Of Broker Dealer Law

Basics Of Broker Dealer Law

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The capital markets have evolved considerably since 24 stockbrokers met outdoors on Wall Street to sign the “Buttonwood Agreement” in 1792.  From curb-brokers, trading at coffee houses, exchange floors, algorithmic trading, digital or cryptography-based asset etc., globalization and the advent of the technology often are credited for shaping the modern markets.  Today, we will cover the foundation in the regulatory regime applying to broker-dealers: (i) the applicable laws and regulations, as well as the regulators; (ii) status and registration; (iii) supervision; (iv) sales practice rules and customer relationship; and (iv) trading practice rules; and (v) financial responsibility rules.  The discussion will provide building blocks designed to serve as a high level primer for those entering the brokerage industry.

Start Date:
  • May 25, 2021
Start Time:
  • 11:00 AM
End Time:
  • 12:00 PM
Areas Of Professional Practice Credit(s):
  • 1.0
Total Credit(s):
  • 1.0
Region:
  • Virtual Participation
Format:
  • Webinar
Product Code:
  • 0KT91
Section Member Price: Free
NYSBA Member Price: $50.00 Join (or renew) for special member pricing
Non-Member Price: $100.00
Sponsoring Committee Group
  • Business Law Section