Broker-Dealers and Markets: Overview

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. Other relevant topic pages include FINRA materials, Securities Law Enforcement, Government Securities, Municipal Securities, and the Volcker Rule. See also all Broker-Dealer topic pages and all Federal Securities document pages.

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Contributor Organization 
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Partner
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Senior Counsel
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Senior Attorney
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Special Counsel

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Securities Exchange Act and SEC Rules & Forms