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Broker-Dealer Regulation in a Nutshell

Nutshell Series

By (author) Thomas Lee Hazen
Format: Paperback / softback
Publisher: LEG Inc. (dba West Academic Publishing, MN, United States
Published: 30th Apr 2017
Dimensions: w 124mm h 187mm d 20mm
Weight: 280g
ISBN-10: 1634603397
ISBN-13: 9781634603393
Barcode No: 9781634603393
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Synopsis
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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