Broker-dealer regulation in a nutshell / Thomas Lee Hazen, Cary C. Boshamer Professor of Law, the University of North Carolina at Chapel Hill.
2011
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Details
Title
Broker-dealer regulation in a nutshell / Thomas Lee Hazen, Cary C. Boshamer Professor of Law, the University of North Carolina at Chapel Hill.
Variant Title
Title on introductory web page: Hazen's broker-dealer regulation in a nutshell
Edition
Second edition.
Imprint
St. Paul, MN : West, a Thomson Reuters business, [2011]
Copyright
©2011
Description
1 online resource (xlii, 271 pages).
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
Online resource (Westlaw, viewed February 15, 2013).
Location
www
Available in Other Form
Linked Resources
Alternate Title
West Academic study aids.
Language
English
ISBN
9781628106053 electronic book
1628106050 electronic book
9780314189578 (paperback)
0314189572 (paperback)
1628106050 electronic book
9780314189578 (paperback)
0314189572 (paperback)
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