Broker-Dealer Regulation in a Nutshell, 2d - download pdf or read online

By Thomas Hazen

This name presents an advent and assessment of broker-dealer rules within the securities markets. It covers broker-dealer entrance workplace and again workplace concerns, in addition to marketplace law normally. It deals an figuring out of uncomplicated suggestions and the underlying regulatory scheme, with reasons of revenues practices, analysts' conflicts of curiosity, civil liabilities, and arbitration. This name additionally offers 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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