Broker-dealer regulation in a nutshell
2nd ed.
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Word Count
67,750 words, Guess
Page Count
271 pages
Identifiers
- ISBN-139780314189578
- ISBN-100314189572
- Library of Congress Control Number2011290899
- OCLC Control Number704407749
- Open LibraryOL25011983M
Classifications
- LCCKF1071 .H39 2011
- LCCKF1071 .H39 2011x
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). --
Subjects
Places
Series Statement
- West nutshell series
- Nutshell series
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