Broker-Dealer Regulation in a Nutshell

Broker-Dealer Regulation in a Nutshell

Author: Hazen, Thomas Lee
Edition: 2nd
Copyright Date: 2011
  • Edition: 2nd
  • Publication Date: February 17th, 2011
  • ISBN: 9780314189578
  • Subject: Securities Regulation
  • Series: Nutshells
  • Type: Overviews
  • Description: This title provides 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 offers an understanding of basic concepts and the underlying regulatory scheme, with explanations of 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).