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Law In A Nutshell: Broker-Dealer Regulation

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Edition: 2nd ed., 2011
Author(s): Hazen


SKU: 50304U



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Product Description

Law In A Nutshell: Broker-Dealer Regulation 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 with an understanding of basic concepts and the basic regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration.

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;
Civil Liabilities;
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.


Condition Used
Shipping Availability This item ships within the next business day.
Heavy No
Format Paperback
Author Hazen
ISBN 9780314189578
Edition 2nd ed., 2011
Publisher West