Broker-Dealer Regulation in a Nutshell

Thomas Lee Hazen (Autor)

Buch | Softcover

339 Seiten

2017 | 3rd Revised edition
LEG Inc. (dba West Academic Publishing (Verlag)
9781634603393 (ISBN)

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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).

Erscheinungsdatum	04.07.2017
Reihe/Serie	Nutshell Series
Verlagsort	MN
Sprache	englisch
Maße	124 x 187 mm
Gewicht	280 g
Themenwelt	Recht / Steuern ► EU / Internationales Recht
Themenwelt	Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht
ISBN-13	9781634603393 / 9781634603393
Zustand	Neuware