Broker-Dealer Regulation in a Nutshell

Author: Hazen, Thomas Lee
Edition: 4th
Copyright Date: 2021
  • Publication Date: April 26th, 2021
  • ISBN: 9781647083953
  • Subject: Securities Regulation
  • Series: Nutshells
  • Type: Overviews
  • Description: 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).