Broker-Dealer Regulation in a Nutshell - Nutshell Series (Paperback)
  • Broker-Dealer Regulation in a Nutshell - Nutshell Series (Paperback)
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Broker-Dealer Regulation in a Nutshell - Nutshell Series (Paperback)

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£48.95
Paperback 339 Pages / Published: 30/06/2017
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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).

Publisher: LEG Inc. (dba West Academic Publishing
ISBN: 9781634603393
Number of pages: 339
Dimensions: 187 x 124 mm
Edition: 3rd Revised edition

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