Broker-Dealer Regulation in a Nutshell
Hazen, Thomas Lee
ISBN 10: 0314189572 ISBN 13: 9780314189578
Verlag: West Academic, 2011
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Softcover
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Better World Books, Mishawaka, IN, USA
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Beschreibung
Beschreibung:
Used book that is in almost brand-new condition. Bestandsnummer des Verkäufers 50623933-6
Inhaltsangabe:
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 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).
Reseña del editor: 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 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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Bibliografische Details
Titel: Broker-Dealer Regulation in a Nutshell
Verlag: West Academic
Erscheinungsdatum: 2011
Einband: Softcover
Zustand: As New
Auflage: 2nd Edition.
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Broker-Dealer Regulation in a Nutshell
Anbieter: Better World Books, Mishawaka, IN, USA
Verkäuferbewertung 5 von 5 Sternen
Zustand: Good. 2nd Edition. Used book that is in clean, average condition without any missing pages. Artikel-Nr. 17400685-6