Title: Broker-dealer regulation in a nutshell /
Authors: Hazen, Thomas Lee, 1947-
Year: 2021
Subjects: Stockbrokers Legal status, laws, etc. United States; Securities United States
Contents: Overview of securities regulation -- Introduction to the securities markets -- Overview of SEC and self-regulation -- Overview of securities laws' anti-manipulation and anti-fraud provisions -- Broker-dealer definitions and registration requirements -- Broker-dealer financial regulation -- Exchange trading and market making -- Retail and other operations --Obligations to customers: manipulative and deceptive broker-dealer practices -- Civil liabilities -- Arbitration of broker-dealer disputes.