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.

CadwaladerSpotlight

Join nearly 500 leaders from the financial services, investment management and legal communities for an afternoon of panels covering key trends in the commercial real estate, fund finance, debt fund, structured products and loan markets.