News and Views from Ernster, the Law Library Virtual Cat.
Sunday, July 13, 2014
Online Research Resources: Broker/Dealer Compliance Report (BNA)
If you are interested in a broker/dealer source that provides coverage of changes in federal and state securities laws, regulations, industry rules, and legal
proceedings at federal/state levels, then take
a look at BNA's Broker/Dealer Compliance Report. The Report also provides news of the latest SEC, NASD Regulation, NYSE actions as well as various self-regulatory organization policies. Coverage dates to
September 22, 1999.
To access the Broker/Dealer Compliance Report (BNA):
Click the "Online Resources Subject List" link
Then, click "Commercial and Corporate Law" link
Scroll down to "Broker/Dealer Compliance Report (BNA)"
(a.k.a. - legal stuff I have to say on advice of counsel)
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