Broker-Dealer Regulation in a Nutshell

by Thomas Lee Hazen

Overview

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).

Product Details

ISBN-13:	9780314144621
Publisher:	West Academic Publishing
Publication date:	01/01/2003
Series:	Securities Regulation
Edition description:	Older Edition
Pages:	235
Product dimensions:	5.12(w) x 7.09(h) x (d)