Broker-Dealer Regulation in a Nutshell
Author:   Thomas Lee Hazen
Publisher:   West Academic Publishing
Edition:   4th Revised edition
ISBN:  

9781647083953


Pages:   431
Publication Date:   30 April 2021
Format:   Paperback
Availability:   In Print   Availability explained
This item will be ordered in for you from one of our suppliers. Upon receipt, we will promptly dispatch it out to you. For in store availability, please contact us.

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Broker-Dealer Regulation in a Nutshell


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Overview

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).

Full Product Details

Author:   Thomas Lee Hazen
Publisher:   West Academic Publishing
Imprint:   West Academic Press
Edition:   4th Revised edition
Weight:   0.340kg
ISBN:  

9781647083953


ISBN 10:   1647083958
Pages:   431
Publication Date:   30 April 2021
Audience:   College/higher education ,  Undergraduate
Format:   Paperback
Publisher's Status:   Active
Availability:   In Print   Availability explained
This item will be ordered in for you from one of our suppliers. Upon receipt, we will promptly dispatch it out to you. For in store availability, please contact us.

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