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Broker-Dealer Regulation in a Nutshell (Nutshells)

Thomas Lee Hazen

5/5 ( ratings)

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 with 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 .

Pages: 339

Format: Kindle Edition

Publisher: West Academic Publishing

Release: April 28, 2017

Broker-Dealer Regulation in a Nutshell (Nutshells)

Thomas Lee Hazen

5/5 ( ratings)

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 with 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 .

Pages: 339

Format: Kindle Edition

Publisher: West Academic Publishing

Release: April 28, 2017

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