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Broker-Dealer Regulation:Cases and Materials / Edition 1
     

Broker-Dealer Regulation:Cases and Materials / Edition 1

by Thomas Lee Hazen, David L. Ratner, David L. Ratner
 

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ISBN-10: 0314143858

ISBN-13: 9780314143853

Pub. Date: 10/01/2002

Publisher: West Academic Publishing

This law school casebook is devoted to broker-dealer regulation in the securities markets. The book covers SEC and self-regulation of the securities brokerage industry and the securities markets, fraud, manipulation, abusive sales practices, margin regulation, obligations to customers, conflict of interest, and investment advisers. The casebook focuses on regulatory

Overview

This law school casebook is devoted to broker-dealer regulation in the securities markets. The book covers SEC and self-regulation of the securities brokerage industry and the securities markets, fraud, manipulation, abusive sales practices, margin regulation, obligations to customers, conflict of interest, and investment advisers. The casebook focuses on regulatory issues as well as civil liabilities of broker-dealers. Designed for use in an advanced course, it includes excerpts from cases and administrative decisions and also from self-regulatory organizations such as the National Association of Securities Dealers (NASD), and also includes materials relating to market regulation generally.

Product Details

ISBN-13:
9780314143853
Publisher:
West Academic Publishing
Publication date:
10/01/2002
Series:
American Casebook Series
Edition description:
New Edition
Pages:
648
Product dimensions:
7.50(w) x 10.00(h) x 1.40(d)

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