Broker-dealer regulation in a nutshell / by Thomas Lee Hazen.
2011
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Details
Title
Broker-dealer regulation in a nutshell / by Thomas Lee Hazen.
Variant Title
Index screen title: Hazen's Broker-dealer regulation in a nutshell, 2d
Edition
Second edition.
Imprint
St. Paul, MN : West, [2011]
Distributed
[St. Paul, Minnesota] : West Academic Publishing, [2014]
Description
1 online resource (xlii, 271 pages).
Series
Nutshell series.
Study aids (West Academic Publishing)
Study aids (West Academic Publishing)
Formatted Contents Note
The markets and self regulation
Broker-dealer definitions and registration requirements
Exchange trading and market making
Retail and other operations
Manipulative and deceptive practices
Civil liabilities
Arbitration of broker-dealer disputes.
Broker-dealer definitions and registration requirements
Exchange trading and market making
Retail and other operations
Manipulative and deceptive practices
Civil liabilities
Arbitration of broker-dealer disputes.
Bibliography, etc. Note
Includes bibliographical references and index.
Type of File
West Academic eProducts doc viewer.
System Details Note
Mode of access: The purchase of an online book carries a 12-month license for online-use only. These products can be viewed on any device with an internet connection. There is no downloadable text or PDF made available to customers.
Source of Description
Description based on e-publication title page, viewed January 22, 2015.
Location
www
Available in Other Form
Original
Access Note
Full text available with subscription to Study Aids package.
Linked Resources
Alternate Title
West Academic Publishers
Language
English
Record Appears in