Broker-Dealer Regulation in a Nutshell

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).
ASIN: 1647083958
VSKU: GBV.1647083958.G
Condition: Good
Author/Artist:Hazen, Thomas
Binding: Paperback
Note: Any images shown are stock photographs and product may differ from what is shown.
Condition Notes: Book has corner edge dings and or scratches and signs of light wear.