Lofchie's Guide to US Broker-Dealer Regulation

Nov 14, 2012

Lofchie's Guide to US Broker-Dealer Regulation, authored by Steven Lofchie, offers comprehensive analysis of broker-dealer regulation, including registration requirements, employee management, communications, research, privacy, anti-money laundering, trading, custody, capital requirements, credit, insolvency, record keeping, supervision, and the operation of non-US broker-dealers; practical guidance, allowing users to focus on high-risk areas while appreciating the full-range of regulatory challenges.; and unparalleled functionality, enabling users to locate desired information quickly, easily access related rules and regulations, and intuitively navigate throughout.

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April 19: Trading Risk's London ILS Conference 2018

Robert Cannon will discuss the U.K.’s new insurance-linked securities framework.

Cadwalader's research and intelligence platform provides analysis on changes in U.S. financial regulation. Subscribers receive a daily newsletter interpreting new laws, rules and enforcement actions that impact financial institutions.