Broker-Dealer Regulation in a Nutshell Paperback / softback
by Thomas Lee Hazen
Part of the Nutshell Series series
Paperback / softback
- Information
Description
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).
Information
-
Out of StockMore expected soonContact us for further information
- Format:Paperback / softback
- Pages:431 pages
- Publisher:West Academic Publishing
- Publication Date:30/05/2021
- Category:
- ISBN:9781647083953
Information
-
Out of StockMore expected soonContact us for further information
- Format:Paperback / softback
- Pages:431 pages
- Publisher:West Academic Publishing
- Publication Date:30/05/2021
- Category:
- ISBN:9781647083953
