Hazen's Broker-Dealer Regulation in a Nutshell, 3d

Imprint
West Academic Publishing
ISBN-13
9781683289739
Primary Subject
Securities Regulation
Format
eBook
Copyright
2017
Series
Nutshells
eBook - Lifetime digital access to the eBook, with the ability to highlight and take notes.

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).