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 ...
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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).
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Add this copy of Law in a Nutshell: Broker-Dealer Regulation to cart. $68.58, new condition, Sold by DiscountLawBooks rated 4.0 out of 5 stars, ships from Lawrence, KS, UNITED STATES, published 2021 by West Academic Publishing.
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Add this copy of Broker-Dealer Regulation in a Nutshell (Nutshells) to cart. $143.44, new condition, Sold by TEXTSHUB rated 5.0 out of 5 stars, ships from Franklin Lakes, NJ, UNITED STATES, published 2021 by West Academic Publishing.
