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 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). --

Year

2011

Language

English

Series

West nutshell series

Publisher

Thomson/West

Editions

1

Pages

271

ISBN

9780314189578

Data source: Wikidata