Broker-Dealer Regulation in a Nutshell (Nutshells)

Broker-Dealer Regulation in a Nutshell (Nutshells)

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).
Country USA
Manufacturer West Academic Publishing
Binding Paperback
UnitCount 1
UPCs 781349382858
EANs 9781634603393
ReleaseDate 2017-04-28

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