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 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).
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Search results for Broker-Dealer Regulation in a Nutshell (Nutshell Series)
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Broker-Dealer Regulation in a Nutshell (Nutshells)
Published by
West Academic Publishing, 2011
ISBN 10: 0314189572
ISBN 13: 9780314189578
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Paperback
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Broker-Dealer Regulation in a Nutshell
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Broker-Dealer Regulation in a Nutshell (Nutshells)
Published by
West Academic Publishing, 2011
ISBN 10: 0314189572
ISBN 13: 9780314189578
Used
Softcover
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Broker-Dealer Regulation in a Nutshell (Nutshells)
Published by
West Academic Publishing, 2011
ISBN 10: 0314189572
ISBN 13: 9780314189578
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Paperback
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