Broker-dealer regulation in a nutshell / Thomas Lee Hazen.
2021
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Details
Title
Broker-dealer regulation in a nutshell / Thomas Lee Hazen.
Edition
Fourth edition.
Imprint
St. Paul, MN : West Academic Publishing, [2021]
Distributed
[St. Paul, Minnesota] : West Academic Publishing, [2021]
Description
1 online resource (xxxix, 387 pages).
Series
Nutshell series.
Study aids (West Academic Publishing)
Study aids (West Academic Publishing)
Formatted Contents Note
Chapter 1. Overview of Securities Regulation
Chapter 2. Introduction to the Securities Markets
Chapter 3. Overview of SEC and Self-Regulation
Chapter 4. Overview of Securities Laws' Anti-Manipulation and Anti-Fraud Provisions
Chapter 5. Broker-Dealer Definitions and Registration Requirements
Chapter 6. Broker-Dealer Financial Regulation
Chapter 7. Exchange Trading and Market Making
Chapter 8. Retail and Other Operations
Chapter 9. Obligations to Customers; Manipulative and Deceptive Broker- Dealer Practices
Chapter 10. Civil Liabilities
Chapter 11. Arbitration of Broker-Dealer Disputes
Appendix. Further Reading
Glossary
Index.
Chapter 2. Introduction to the Securities Markets
Chapter 3. Overview of SEC and Self-Regulation
Chapter 4. Overview of Securities Laws' Anti-Manipulation and Anti-Fraud Provisions
Chapter 5. Broker-Dealer Definitions and Registration Requirements
Chapter 6. Broker-Dealer Financial Regulation
Chapter 7. Exchange Trading and Market Making
Chapter 8. Retail and Other Operations
Chapter 9. Obligations to Customers; Manipulative and Deceptive Broker- Dealer Practices
Chapter 10. Civil Liabilities
Chapter 11. Arbitration of Broker-Dealer Disputes
Appendix. Further Reading
Glossary
Index.
Bibliography, etc. Note
Includes bibliographical references and index.
Source of Description
Description based on e-publication title page, viewed April 7, 2021.
Location
www
Other Editions
Revision of: Hazen, Thomas Lee, 1947- Broker-dealer regulation in a nutshell. Third edition. St. Paul, MN : West Academic Publishing, [2017]
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
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