Broker/Dealer Compliance Report™ will help you meet the full range of compliance requirements, which can make the difference between continued profitability or costly penalties for violations.

Expert News & Commentary

Benefit from Bloomberg Law’s independent, objective reporting from the public- and private-sector agencies and organizations where events unfold. 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.

Trusted Legal Analysis

Get a fresh, unbiased perspective from Bloomberg Law's advisory board of securities industry experts. Including exclusive interviews with government officials and business leaders, giving you an inside look at emerging trends.

Try Broker Dealer Compliance Report now

broker dealer comp rept
Powerful Research Features

Key focal points of federal and state regulations better prepare you for exams and audits, including industry-best practices for the changing rules and regulations.

Topics Covered

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


Product Structure

Notification: current reports providing news and developments.

Formats and Frequency

Web notification is available weekly and is archived to 09.22.1999. 
Email summaries, providing the highlights and table of contents for each report, with URLs to full text articles and documents are also available.