Broker-dealer Regulation in a Nutshell

ISBN-10
0314144625
ISBN-13
9780314144621
Category
Law
Language
English
Published
2003
Publisher
West Academic Publishing
Author
Thomas Lee Hazen

Description

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

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