Order by phone 1-866-808-5635 (M-F 9am-5pm CST)

BarristerBooks.com

Only $48.99 until FREE SHIPPING!

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

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

9780314143853

SKU: 93915

New
Hardcover

$17795

Hurry! Only 1 left!

  • FREE SHIPPING!
  • Order now and this item
    SHIPS TODAY!
  • This item earns 177 LawRewards points!What are LawRewards?

Used
Hardcover

$11193

Hurry! Only 1 left!Used Book Quality?

  • FREE SHIPPING!
  • Order now and this item
    SHIPS TODAY!
  • This item earns 111 LawRewards points!

What condition are our used books in?

We offer only high‐quality used textbooks.

All of the used textbooks that we offer adhere to the following quality standards:

  • No more than 25% of the total pages in the book have writing or highlighting and existing writing and highlighting does not obscure text.
  • All bindings are intact, with no split bindings.

If you have any question about any used textbook for sale on our website, please call us at 1‐866‐808‐5635 (M‐F 9am‐5pm CST) and we may be able to inspect the books for you prior to purchase.

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;
Recommendations;
"Churning";
Compliance Issues;
Civil Liability for Violations;
Market Regulation;
Financial Responsibility of Broker-Dealers;
Regulation of Investment Advisers;
Regulation of Mutual Funds (Investment Companies).

Information

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

Reviews