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Broker Dealer Regulation: Cases & Materials (American Casebook Series)

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Edition: 1st ed., 2002
Author(s): Hazen, Ratner


SKU: 93915



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Product Description

This Broker Dealer Regulation: Cases & Materials law school casebook is devoted to broker-dealer regulation in the securities markets. The book covers SEC and self-regulation of the securities brokerage industry and the securities markets, fraud, manipulation, abusive sales practices, margin regulation, obligations to customers, conflict of interest, and investment advisers. The casebook focuses on regulatory issues as well as civil liabilities of broker-dealers. Designed for use in an advanced course, it includes excerpts from cases and administrative decisions and also from self-regulatory organizations such as the National Association of Securities Dealers (NASD), and also includes materials relating to market regulation generally.

Table of Contents includes:
The Regulatory Framework;
Broker-Dealers and Public Offerings of Securities;
Fraud and Manipulation: An Overview;
"Self Regulation" and Broker-Dealer Registration;
Dealers and Market Makers;
Compliance Issues;
Civil Liability for Violations;
Market Regulation;
Financial Responsibility of Broker-Dealers;
Regulation of Investment Advisers;
Regulation of Mutual Funds (Investment Companies).


Condition New
Shipping Availability This item ships within the next business day.
Heavy No
Format Hardcover
Author Hazen, Ratner
ISBN 9780314143853
Edition 1st ed., 2002
Publisher West