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Broker-Dealer Regulation in A Nutshell, 2D / Edition 2
     

Broker-Dealer Regulation in A Nutshell, 2D / Edition 2

by Thomas Lee Hazen
 

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ISBN-10: 0314189572

ISBN-13: 9780314189578

Pub. Date: 02/18/2011

Publisher: West Academic

This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation

Overview

This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).

Product Details

ISBN-13:
9780314189578
Publisher:
West Academic
Publication date:
02/18/2011
Series:
Nutshell
Edition description:
2
Pages:
317
Product dimensions:
4.90(w) x 7.30(h) x 0.60(d)

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