Items related to Broker-Dealer Regulation in a Nutshell (Nutshells)
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 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).
"synopsis" may belong to another edition of this title.
- PublisherWest Academic Publishing
- Publication date2017
- ISBN 10 1634603397
- ISBN 13 9781634603393
- BindingPaperback
- LanguageEnglish
- Edition number3
- Number of pages339
Search results for Broker-Dealer Regulation in a Nutshell (Nutshells)
Stock Image
Broker-Dealer Regulation in a Nutshell (Nutshell Series)
Published by
West Academic Publishing, 2017
ISBN 10: 1634603397
ISBN 13: 9781634603393
Used
Paperback
Seller: WorldofBooks, Goring-By-Sea, WS, United Kingdom
Seller rating 4 out of 5 stars
Paperback. Condition: Very Good. The book has been read, but is in excellent condition. Pages are intact and not marred by notes or highlighting. The spine remains undamaged. Seller Inventory # GOR014233570
Quantity: 1 available
Stock Image
Broker-Dealer Regulation in a Nutshell (Nutshells)
Published by
West Academic Publishing, 2017
ISBN 10: 1634603397
ISBN 13: 9781634603393
Used
paperback
Seller: Open Books, Chicago, IL, U.S.A.
Seller rating 5 out of 5 stars
paperback. Condition: Good. Open Books is a nonprofit social venture that provides literacy experiences for thousands of readers each year through inspiring programs and creative capitalization of books. Seller Inventory # mon0000741212
Quantity: 1 available
Stock Image
Broker-Dealer Regulation in a Nutshell (Nutshells)
Published by
West Academic Publishing, 2017
ISBN 10: 1634603397
ISBN 13: 9781634603393
Used
Softcover
Seller: Book Deals, Tucson, AZ, U.S.A.
Seller rating 5 out of 5 stars
Condition: Good. Good condition. This is the average used book, that has all pages or leaves present, but may include writing. Book may be ex-library with stamps and stickers. 0.62. Seller Inventory # 353-1634603397-gdd
Quantity: 1 available
Stock Image
Broker-Dealer Regulation in a Nutshell
Seller: TextbookRush, Grandview Heights, OH, U.S.A.
Seller rating 4 out of 5 stars
Condition: Good. Expedited orders RECEIVED in 1-5 business days within the United States. Orders ship SAME or NEXT business day. We proudly ship to APO/FPO addresses. 100% Satisfaction Guaranteed! Seller Inventory # 52878923
Quantity: 1 available
Stock Image
Broker-Dealer Regulation in a Nutshell (Nutshells)
Published by
West Academic Publishing, 2017
ISBN 10: 1634603397
ISBN 13: 9781634603393
Used
Paperback
Seller: dsmbooks, Liverpool, United Kingdom
Seller rating 4 out of 5 stars
Paperback. Condition: Good. Good. book. Seller Inventory # D8S0-3-M-1634603397-6
Quantity: 1 available