Broker-Dealer Regulation in a Nutshell (Nutshell Series)

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9780314144621: Broker-Dealer Regulation in a Nutshell (Nutshell Series)

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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Thomas Lee Hazen
Published by West Academic (2003)
ISBN 10: 0314144625 ISBN 13: 9780314144621
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Irish Booksellers
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Book Description West Academic, 2003. Paperback. Book Condition: New. book. Bookseller Inventory # M0314144625

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Hazen, Thomas Lee
Published by Gale Cengage (2003)
ISBN 10: 0314144625 ISBN 13: 9780314144621
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Book Description Gale Cengage, 2003. Paperback. Book Condition: New. Never used!. Bookseller Inventory # P110314144625

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