Broker-dealer regulation in a nutshell

著者

• Hazen, Thomas Lee

書誌事項

Broker-dealer regulation in a nutshell

by Thomas Lee Hazen

（Nutshell series）

West/Thomson Reuters, c2011

2nd ed

• : pbk

内容説明・目次

内容説明

This title 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 underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).

「Nielsen BookData」 より

• NII書誌ID(NCID): BB06716990
• ISBN:
  • 9780314189578
• 出版国コード: us
• タイトル言語コード: eng
• 本文言語コード: eng
• 出版地: St. Paul, Minn.
• ページ数/冊数: xlii, 271 p.
• 大きさ: 19 cm
• 分類:
  • LCC : KF1071
• 件名:
  • LCSH : Stockbrokers -- Legal status, laws, etc. -- United States
• 親書誌ID:
  • BA00260876