Broker-Dealer Regulation in a Nutshell

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Broker-Dealer Regulation in a Nutshell by Hazen, Thomas Lee, 9780314144621
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  • ISBN: 9780314144621 | 0314144625
  • Cover: Paperback
  • Copyright: 1/1/2003

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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 with an understanding of basic concepts and the basic regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration.
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