Professor Ron Filler
This course will thoroughly examine all of the various federal (SEC and CFTC) and state laws and regulations, exchange and self-regulatory
organizations (FINRA and NFA) and regulations that impact securities and futures brokerage firms. Introducing brokers and salespersons will provide detail analyses on such issues as exchange memberships, registration requirements, net capital and customer protection rules, execution and clearing issues, all from both a U.S. and global perspective. This course is NOT open to students who have taken Federal Regulation of Brokers and Dealers.