Broker-Dealer Regulation in a Nutshell (Nutshells)

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Broker-Dealer Regulation in a Nutshell (Nutshells) image
ISBN-10:

1634603397

ISBN-13:

9781634603393

Author(s): Hazen, Thomas
Edition: 3
Released: Apr 28, 2017
Format: Paperback, 339 pages

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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