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Item Details
| Title:
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BROKER-DEALER REGULATION IN A NUTSHELL
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| By: |
Thomas Hazen |
| Format: |
Paperback |
| List price:
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£62.00 |
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We currently do not stock this item, please contact the publisher directly for
further information.
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| ISBN 10: |
1634603397 |
| ISBN 13: |
9781634603393 |
| Publisher: |
LEG INC. (DBA WEST ACADEMIC PUBLISHING |
| Pub. date: |
30 June, 2017 |
| Edition: |
3rd Revised edition |
| Series: |
Nutshell Series |
| Pages: |
339 |
| Description: |
Provides an introduction to 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 an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. |
| Synopsis: |
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). |
| Publication: |
US |
| Imprint: |
LEG Inc. (dba West Academic Publishing |
| Returns: |
Returnable |
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