Details
What this service is:
Comprehensive coverage of the industry and vital practical information help you meet the full range of broker/dealer compliance requirements. It can make the difference between continued profitability or costly penalties for non-compliance.
What it helps you do:
- Keep up to speed with timely, focused coverage. Monitor securities laws, regulations, industry rules, and legal proceedings at federal and state levels affecting broker/dealers.
- Get news of the latest SEC, NASD Regulation, and NYSE actions -- rule changes, enforcement trends, violations and penalties, policies and procedures, and more.
- Track enforcement activities with reports on charges brought, cases pending, arbitration awards, verdicts and settlements, fines, and penalties.
- Follow arbitration trends and awards.
- Protect your firm and its clients with insights into the practical implications of new developments.
- Review best industry practices and the compliance strategies -- successful and unsuccessful -- of colleagues and competitors.
- Ensure that your organization is in compliance with changing rules and regulations.
- Be better prepared for exams and audits by knowing the key focal points of federal and state regulators.
- Read exclusive interviews with government officials and business leaders that provide an inside look at emerging trends.
- Get a fresh, unbiased perspective from Bloomberg BNA's advisory board of securities industry experts.
- Benefit from Bloomberg BNA's independent, objective reporting from the public- and private-sector agencies and organizations where events unfold:
- Association for Investment Management and Research
- Bond Market Association
- Futures Industry Association
- Investment Company Institute
- Investment Counsel Association of America
- NASD Regulation, Inc.
- National Association of Securities Dealers, Inc.
- New York Stock Exchange
- North American Securities Administrators Association
- Securities and Exchange Commission
- Securities Industry Association
Product Structure
Notification: current reports providing news and developments
Formats and Frequency
Web notification is available weekly and is archived to 9/22/1999. E-mail summaries, providing the highlights and table of contents for each report, with URLs to full text articles and documents are also available.