Broker-dealer regulation in a nutshell / Thomas Lee Hazen (Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill)
2021
INTERNET
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Title
Broker-dealer regulation in a nutshell / Thomas Lee Hazen (Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill)
Published
St. Paul, MN : West Academic Publishing, [2021]
Copyright
©2021
Call Number
INTERNET
Edition
Fourth edition.
Spine Title
Broker-dealer regulation
ISBN
1636593224 (electronic bk.)
9781636593227 (electronic bk.)
9781647083953 (paperback)
1647083958 (paperback)
9781634603393
9781636593227 (electronic bk.)
9781647083953 (paperback)
1647083958 (paperback)
9781634603393
Description
1 online resource
System Control No.
on1244618301
(WestAcademic_OCoLC)1244618301
(WestAcademic_OCoLC)1244618301
Summary
"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 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)."-- Provided by publisher.
Bibliography, etc. Note
Includes bibliographical references (page 373) and index.
Source of Description
Online resource (West Academic, viewed April 7, 2021).
Series
Available in Other Form
Print version: Hazen, Thomas Lee, 1947- Broker-dealer regulation in a nutshell. Third edition. St. Paul, MN : West Academic Publishing, [2017] 9781683289739 (OCoLC)987300372
Record Appears in
Table of Contents
Overview of securities regulation
Introduction to the securities markets
Overview of SEC and self-regulation
Overview of securities laws' anti-manipulation and anti-fraud provisions
Broker-dealer definitions and registration requirements
Broker-dealer financial regulation
Exchange trading and market making
Retail and other operations
Obligations to customers; manipulative and deceptive broker-dealer practices
Civil liabilities
Arbitration of broker-dealer disputes.
Introduction to the securities markets
Overview of SEC and self-regulation
Overview of securities laws' anti-manipulation and anti-fraud provisions
Broker-dealer definitions and registration requirements
Broker-dealer financial regulation
Exchange trading and market making
Retail and other operations
Obligations to customers; manipulative and deceptive broker-dealer practices
Civil liabilities
Arbitration of broker-dealer disputes.