Broker-Dealer Regulation in a Nutshell (Nutshells)
ISBN-13:
9781647083953
ISBN-10:
1647083958
Edition:
4
Author:
Thomas Hazen
Publication date:
2021
Publisher:
West Academic Publishing
Format:
Paperback
431 pages
Category:
Securities
,
Business Law
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Book details
ISBN-13:
9781647083953
ISBN-10:
1647083958
Edition:
4
Author:
Thomas Hazen
Publication date:
2021
Publisher:
West Academic Publishing
Format:
Paperback
431 pages
Category:
Securities
,
Business Law
Summary
Broker-Dealer Regulation in a Nutshell (Nutshells) (ISBN-13: 9781647083953 and ISBN-10: 1647083958), written by authors
Thomas Hazen, was published by West Academic Publishing in 2021.
With an overall rating of 3.6 stars, it's a notable title among other
Securities
(Business Law) books. You can easily purchase or rent Broker-Dealer Regulation in a Nutshell (Nutshells) (Paperback) from BooksRun,
along with many other new and used
Securities
books
and textbooks.
And, if you're looking to sell your copy, our current buyback offer is $20.56.
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).
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