Law In A Nutshell: Broker-Dealer Regulation
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Table of Contents includes:
The Markets and Self Regulation;
Broker-Dealer Definitions and Registration Requirements;
Exchange Trading and Market Making;
Retail and Other Operations;
Manipulative and Deceptive Practices;
Arbitration of Broker–Dealer Disputes.
Don't let their small size fool you: West's Law in a Nutshell series represents the depth and breadth of the law in over a hundred different areas. Nutshells have a loyal following who swear by their succinct and easy to understand treatment of the law, and Law In A Nutshell: Broker-Dealer Regulation is a great illustration that learning the law doesn't have to be dry and confusing.
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|Edition||2nd ed., 2011|