Broker-dealer regulation in a nutshell
By: Thomas Lee Hazen
Edition: 2nd ed.
Series: West nutshell series; Nutshell series
Publisher: Thomson/West
Published: 2011
Place of publication: St. Paul, MN
Language: eng
Number of pages: 271
ISBN-13: 9780314189578
Subjects: Stockbrokers; Legal status, laws
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 with 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). --
Notes: Includes bibliographical references and index.