SECURITIES AND OTHER FINANCIAL PRODUCTS
BROKER- DEALER REGULATION Edited by Clifford E. Kirsch (Eversheds Sutherland (US) LLP)
FINTECH, REGTECH, AND THE FINANCIAL
SERVICES INDUSTRY
Edited by Clifford E. Kirsch (Eversheds Sutherland (US) LLP)
This treatise offers a practical look into the regulations governing broker-dealers. The book explores registration reporting, recordkeeping, sustainability, best execution, compliance programs and documentation, insider trading, risk management control, and FINRA suitability. Practitioners, leaders, and broker-dealers can also access 53 forms covering due diligence, compliance checklists, FINRA forms, and summary prospectus disclosures. Stay current with new broker-dealer regulations through PLI’s Upkeep Service.
This title navigates the emerging fintech and regtech developments impacting financial services industry practitioners, broker-dealers, and in-house counsel. The editor is a leading financial services attorney who oversees Practising Law Institute’s BD/IA: Regulation in Focus blog on broker-dealer and investment adviser legal developments. The book features the insights of numerous experts and offers new case analysis and regulatory discussions around decentralized finance, blockchain and digital assets, federal agency guidance on cybersecurity safeguards, and the Advisers Act and the Investment Company Act. Easily track emerging fintech and regtech issues with PLI’s Upkeep Service.
4 looseleaf volumes, 6,484 pages, $737, Item #32789, ISBN 978-1-4024-1689-7, Updated annually or as needed
1 looseleaf volume, 1,458 pages, $512, Item #317392, ISBN 978-1-4024-3769-4, Updated annually or as needed
FINANCIAL PRODUCT
FUNDAMENTALS • LAW • BUSINESS • COMPLIANCE Edited by Clifford E. Kirsch (Eversheds Sutherland (US) LLP)
CLIFFORD E. KIRSCH is the author and editor of seven PLI Press publications. With more than 30 years of regulatory, corporate counsel, and private practice experience, Cliff is a seasoned securities lawyer with expertise in financial services regulation. He is a highly sought-after speaker and a thought leader on current regulatory issues. PLI Press is proud to count Cliff Kirsch as a subject-matter expert and content contributor.
This resource offers a comprehensive dive into the regulatory, pricing, marketing, and viability issues surrounding financial products. The book’s contributing authors offer their expertise and insights into the legal fundamentals underlying private placements, real estate investment trusts, hedge and exchange-traded funds, and other registered offering types. Attorneys and other professionals who offer or regulate financial products can turn to supplemental materials addressing pointers around Forms F-1 and 20-F, policy closing items, IPO timelines, and more. This compendium also addresses the Dodd-Frank Act, SEC actions, foreign broker-dealers, advertising in connection with prospectuses, insurance-linked securities, and life settlements. PLI’s Upkeep Service helps readers stay on top of regulatory
updates pertaining to registered offerings. 2 looseleaf volumes, 2,326 pages, $737, Item #38880, ISBN 978-1-4024-1898-3, Updated annually or as needed
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