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.

• Allocation of trades
• Compensation rules
• Enforcement policy
• Ethics inquires
• False advertising
• Fee disclosure
• Fines and penalties
• Inspections
• Online trading
• Recordkeeping and reporting
• Registration requirements
• Risk disclosure
• Sales abuses
• Supervisory duties
• Timely execution
• Training standards