Coverart for item
The Resource Broker-dealer regulation in a nutshell, Thomas Lee Hazen

Broker-dealer regulation in a nutshell, Thomas Lee Hazen

Label
Broker-dealer regulation in a nutshell
Title
Broker-dealer regulation in a nutshell
Statement of responsibility
Thomas Lee Hazen
Title variation
Broker-dealer regulation
Creator
Author
Subject
Genre
Language
eng
Summary
"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)."--
Member of
Assigning source
Provided by publisher
Cataloging source
BTCTA
http://library.link/vocab/creatorDate
1947-
http://library.link/vocab/creatorName
Hazen, Thomas Lee
Index
index present
Literary form
non fiction
Nature of contents
bibliography
Series statement
Nutshell series
http://library.link/vocab/subjectName
  • Stockbrokers
  • Securities
Label
Broker-dealer regulation in a nutshell, Thomas Lee Hazen
Instantiates
Publication
Copyright
Bibliography note
Includes bibliographical references (page 287) and index
Carrier category
volume
Carrier category code
nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
The markets and self-regulation -- Broker-dealer definitions and registration requirements -- Exchange trading and market making -- Retail and other operations -- Manipulative and deceptive practices -- Civil liabilities -- Arbitration of broker-dealer disputes
Dimensions
19 cm
Edition
Third edition
Extent
xxxiii, 301 pages
Isbn
9781634603393
Media category
unmediated
Media MARC source
rdamedia
Media type code
n
Note
GOBI Library Solutions from EBSCO
System control number
(OCoLC)974698568
Label
Broker-dealer regulation in a nutshell, Thomas Lee Hazen
Publication
Copyright
Bibliography note
Includes bibliographical references (page 287) and index
Carrier category
volume
Carrier category code
nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
The markets and self-regulation -- Broker-dealer definitions and registration requirements -- Exchange trading and market making -- Retail and other operations -- Manipulative and deceptive practices -- Civil liabilities -- Arbitration of broker-dealer disputes
Dimensions
19 cm
Edition
Third edition
Extent
xxxiii, 301 pages
Isbn
9781634603393
Media category
unmediated
Media MARC source
rdamedia
Media type code
n
Note
GOBI Library Solutions from EBSCO
System control number
(OCoLC)974698568

Library Locations

    • Biddle Law LibraryBorrow it
      3400 Chestnut Street, Philadelphia, Pennsylvania, 19104, US
      39.954941 -75.193362
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