Read e-book online Broker-Dealer Regulation in a Nutshell, 2d PDF

By Thomas Hazen

This identify offers an advent and review of broker-dealer rules within the securities markets. It covers broker-dealer entrance place of work and again place of work matters, in addition to industry law as a rule. It bargains an knowing of simple innovations and the underlying regulatory scheme, with reasons of revenues practices, analysts' conflicts of curiosity, civil liabilities, and arbitration. This identify additionally presents an outline of self-regulation less than FINRA (the monetary Regulatory Authority).

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Broker-Dealer Regulation in a Nutshell, 2d by Thomas Hazen


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