Broker-dealer Regulation in a Nutshell - Couverture souple

Hazen, Thomas

 
9780314189578: Broker-dealer Regulation in a Nutshell
Couverture souple
ISBN 10 : 0314189572 ISBN 13 : 9780314189578
Editeur : West Academic Press, 2011

Synopsis

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).

Les informations fournies dans la section « Synopsis » peuvent faire référence à une autre édition de ce titre.

Éditeur
West Academic Press
Date d'édition
2011
Langue
anglais
ISBN 10 
0314189572
ISBN 13 
9780314189578
Reliure
Broché
Numéro d'édition
2
Nombre de pages
317
Coordonnées du fabricant
non disponible
Personne responsable
non disponible