Broker-dealer regulation in a nutshell / Thomas Lee Hazen.
2011
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Details
Title
Broker-dealer regulation in a nutshell / Thomas Lee Hazen.
Edition
Second edition.
Imprint
St. Paul, MN : West, a Thomson Reuters business, 2011.
Distributed
[Getzville, New York] : William S. Hein & Company, [2024]
Description
1 online resource (xliv, 272 pages).
Series
West Academic casebooks archive.
Nutshell series.
Nutshell series.
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.
Source of Description
Description based on PDF title page, viewed April 11, 2024.
Location
www
Linked Resources
Alternate Title
HeinOnline.
Language
English
Record Appears in