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Broker/Dealer Compliance Report

Details

What this service is:

Comprehensive coverage of the industry and vital practical information help you meet the full range of 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 BNA's advisory board of securities industry experts.

Benefit from 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.