Broker-dealer regulation in a nutshell / Thomas Lee Hazen.
2017
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Details
Title
Broker-dealer regulation in a nutshell / Thomas Lee Hazen.
Edition
Third edition.
Imprint
St. Paul, MN : West Academic Publishing, [2017]
Distributed
[St. Paul, Minnesota] : West Academic Publishing, [2017]
Description
1 online resource (xxxiii, 301 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.
Summary
"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.
Source of Description
Description based on e-publication title page, viewed May 1, 2017.
Location
www
Other Editions
Revision of: Hazen, Thomas Lee, 1947- Broker-dealer regulation in a nutshell. Second edition. St. Paul, MN : West, [2011]
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