New PDF release: Broker-Dealer Regulation in a Nutshell, 2d

By Thomas Hazen

ISBN-10: 0314189572

ISBN-13: 9780314189578

This identify offers an advent and review of broker-dealer law within the securities markets. It covers broker-dealer entrance place of work and again place of work matters, in addition to industry legislation regularly. It deals an figuring out of simple ideas and the underlying regulatory scheme, with reasons of revenues practices, analysts' conflicts of curiosity, civil liabilities, and arbitration. This identify additionally offers an outline of self-regulation below FINRA (the monetary Regulatory Authority).

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Broker-Dealer Regulation in a Nutshell, 2d by Thomas Hazen

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