In recent years, broker-dealers have experienced fundamental changes in the way they conduct their business, including through the growth of electronic order routing and execution, adoption of Regulation NMS, and the development of alternative trading systems. Another fundamental change in the way that broker-dealers conduct their retail businesses is on the horizon, as a result of the Securities and Exchange Commission’s proposed “best interest” standard of conduct for broker-dealers.
This four-part series explores the key regulatory issues applicable to
brokers, which affect transactions in securities as agent on behalf of their customers, and “dealers,” which act as principal on one side of a securities transaction. The programs discuss the registration and regulation of broker-dealers under the federal securities laws and practical guidance for constructing a supervisory program for complying with a broker-dealer’s regulatory obligations.
This course is pre-approved for CLE credit in the following states. If your state is not listed, contact support for more information on how to receive credit
All Curriculum Bundles provide a specific industry or practice area focus.
Curriculum Bundles include comprehensive content ranging from intro level courses to advanced issues for an in-depth learning experience.
Our in-house team of program attorneys ensure the highest quality standards for all Lawline programs. Courses in the bundle are specially curated based on positive feedback from attorney viewers like you.