Broker-dealer regulation in a nutshell / Thomas Lee Hazen.
2021
KF1071 .H39 2021 (Mapit)
Available at Reserve Collection
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Title
Broker-dealer regulation in a nutshell / Thomas Lee Hazen.
Edition
Fourth edition.
Imprint
St. Paul, MN : West Academic Press, [2021]
Copyright
©2021
Description
xxxix, 387 pages ; 19 cm.
Series
Nutshell series.
Formatted Contents Note
Overview of securities regulation
Introduction to the securities markets
Overview of SEC and self-regulation
Overview of securities laws' anti-manipulation and anti-fraud provisions
Broker-dealer definitions and registration requirements
Broker-dealer financial regulation
Exchange trading and market making
Retail and other operations
Obligations to customers; manipulative and deceptive broker-dealer practices
Civil liabilities
Arbitration of broker-dealer disputes
Glossary.
Introduction to the securities markets
Overview of SEC and self-regulation
Overview of securities laws' anti-manipulation and anti-fraud provisions
Broker-dealer definitions and registration requirements
Broker-dealer financial regulation
Exchange trading and market making
Retail and other operations
Obligations to customers; manipulative and deceptive broker-dealer practices
Civil liabilities
Arbitration of broker-dealer disputes
Glossary.
Bibliography, etc. Note
Includes bibliographical information (page 373) and index.
Available in Other Form
Call Number
KF1071 .H39 2021
Language
English
ISBN
9781647083953 (paperback)
1647083958 (paperback)
9781636593227 (online)
1647083958 (paperback)
9781636593227 (online)
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