Broker-Dealer Regulation in a Nutshell - Nutshell Series - Thomas Lee Hazen - Books - LEG Inc. (dba West Academic Publishing - 9781634603393 - April 30, 2017
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Thomas Lee Hazen
Broker-Dealer Regulation in a Nutshell - Nutshell Series 3 Revised edition

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Provides an introduction to 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 an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration.

339 pages

Media Books     Paperback Book   (Book with soft cover and glued back)
Released April 30, 2017
ISBN13 9781634603393
Publishers LEG Inc. (dba West Academic Publishing
Pages 339
Dimensions 150 × 220 × 10 mm   ·   280 g

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