Broker-dealer regulation in a nutshell / Thomas Lee Hazen.
2017
KF1071 .H39 2017 (Mapit)
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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]
Copyright
©2017.
Description
xxxiii, 301 pages ; 19 cm.
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.
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 (page 287) and index.
Location
RSRVS
Linked Resources
Spine Title
Broker-dealer regulation.
Call Number
KF1071 .H39 2017
Language
English
ISBN
9781634603393
1634603397
1634603397
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