Nutshell series. Study aids (West Academic Publishing)
"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)."-- Provided by publisher.
Bibliography, etc. Note
Includes bibliographical references and index.
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.
Full text available with subscription to Study Aids package.
Digital File Characteristics
Source of Description
Description based on e-publication title page, viewed May 1, 2017.
Revision of: Hazen, Thomas Lee, 1947- Broker-dealer regulation in a nutshell. Second edition. St. Paul, MN : West,