Synopsis
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).
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Search results for Broker-Dealer Regulation in a Nutshell (Nutshell Series)
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Broker-Dealer Regulation in a Nutshell (Nutshell Series)
Seller: ThriftBooks-Atlanta, AUSTELL, GA, U.S.A.
Seller rating 5 out of 5 stars
Paperback. Condition: Good. No Jacket. Pages can have notes/highlighting. Spine may show signs of wear. ~ ThriftBooks: Read More, Spend Less. Seller Inventory # G0314144625I3N00
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Broker-Dealer Regulation in a Nutshell
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Saint Paul, Minnesota, U.S.A.: West Group, 2003
ISBN 10: 0314144625
ISBN 13: 9780314144621
Used
Soft cover
Seller: Rivelli's Books, Minneapolis, MN, U.S.A.
Seller rating 5 out of 5 stars
Soft cover. Condition: Good. Clean. No writing. Some dog ears. Shelf wear. Seller Inventory # 112012NFhazen
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Broker-Dealer Regulation in a Nutshell (Nutshell Series)
Seller: The Book Spot, Sioux Falls, MN, U.S.A.
Seller rating 5 out of 5 stars
Paperback. Condition: New. Seller Inventory # Abebooks2152