Statements (23)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:law
|
| gptkbp:appliesTo |
firms buying and selling securities for customers
firms buying and selling securities for their own accounts |
| gptkbp:enforcedBy |
gptkb:Financial_Industry_Regulatory_Authority
gptkb:U.S._Securities_and_Exchange_Commission state securities regulators |
| gptkbp:governedBy |
gptkb:Securities_Exchange_Act_of_1934
|
| https://www.w3.org/2000/01/rdf-schema#label |
Broker-Dealer Regulation
|
| gptkbp:regulates |
broker-dealers
|
| gptkbp:relatedTo |
self-regulatory organizations
investment adviser regulation |
| gptkbp:requires |
reporting
recordkeeping registration with SEC compliance with anti-fraud provisions customer protection rules membership in FINRA net capital requirements supervision of associated persons |
| gptkbp:subject |
disciplinary actions
periodic examinations |
| gptkbp:bfsParent |
gptkb:Dodd–Frank
|
| gptkbp:bfsLayer |
5
|