Regulating Broker-Dealers

  • Segregation of Customer Funds
  • Secondary Market Trading
  • Ponzi Schemes
  • Know Your Customer
  • Broker-Dealer Registration
  • High Pressure Sales Tactics
  • Suitability
  • Securities Investor Protection Act of 1970
  • Conflicts of Interest
  • Churning

Learn to:


  1. Describe the most significant duties of broker-dealers
  2. Analyze the key activities that constitute fraud or market manipulation
  3. Explain the key issues related to broker-dealers in financial distress


This course explores the roles and duties of brokers and dealers, the legal rules that govern these investment professionals, and the regulatory authorities that create and enforce these rules.  Topics covered include a general overview of the financial markets regulatory framework; the economic realities that create legal obligations under federal securities regulations and self-regulatory organizations' rules; supervision of broker-dealer financial distress, including protection of customer funds and liability for customer losses.


Division of Online Learning

[email protected] | 973-642-8747 or 973-761-9000 ext. 8747