CALICO

Broker-dealer regulation in a nutshell / Thomas Lee Hazen.

By: Hazen, Thomas Lee, 1947- [author.]
Material type: TextTextSeries: Nutshell series: Publisher: St. Paul, MN : West Academic Publishing, [2017]Copyright date: ©2017Edition: Third editionDescription: xxxiii, 301 pages ; 19 cmContent type: text Media type: unmediated Carrier type: volumeISBN: 9781634603393; 1634603397Other title: Broker-dealer regulation [Spine title]Subject(s): Stockbrokers -- Legal status, laws, etc. -- United States | Securities -- United StatesLOC classification: KF1071 | .H39 2017
Contents:
The markets and self-regulation -- Broker-dealer definitions and registration requirements -- Exchange trading and market making -- Retail and other operations -- Manipulative and deceptive practices -- Civil liabilities -- Arbitration of broker-dealer disputes.
Summary: "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)."-- Provided by publisher.
Item type Current location Call number Status Date due Barcode Item holds
Reserve Camden Campus
Reserve
KF1071 .H39 2017 (Browse shelf) Available 35016002575210
Total holds: 0

Includes bibliographical references (page 287) and index.

The markets and self-regulation -- Broker-dealer definitions and registration requirements -- Exchange trading and market making -- Retail and other operations -- Manipulative and deceptive practices -- Civil liabilities -- Arbitration of broker-dealer disputes.

"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)."-- Provided by publisher.

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Broker-dealer regulation in a nutshell / by Hazen, Thomas Lee,

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