BDs and Markets

Overview

This page provides a comprehensive set of materials relevant to the U.S. regulation of securities broker-dealers, including banks acting as broker-dealers. At the bottom of this page is a list of other potentially relevant topic pages including as to specific topics such as the Rule 15a-6 requirements applicable to Non-U.S. Broker-Dealers and general topics such as the Commodity Exchange Act.

Steven.Lofchie@cwt.com's picture
Contributor Organization 
Contributor Title 
Partner
maurine.bartlett@cwt.com's picture
Contributor Organization 
Contributor Title 
Senior Counsel
mark.highman@cwt.com's picture
Contributor Organization 
Contributor Title 
Professional Advisor
nihal.patel@cwt.com's picture
Contributor Organization 
Contributor Title 
Associate

Find

 
Find: