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OverviewThis 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 DetailsAuthor: Thomas Lee HazenPublisher: West Academic Publishing Imprint: West Academic Press Edition: 4th Revised edition Weight: 0.340kg ISBN: 9781647083953ISBN 10: 1647083958 Pages: 431 Publication Date: 30 May 2021 Audience: College/higher education , Undergraduate Format: Paperback Publisher's Status: Active Availability: In Print  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. Table of ContentsReviewsAuthor InformationTab Content 6Author Website:Countries AvailableAll regions |
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