Broker Dealer Regulation

Download or read book Broker-dealer Regulation in a Nutshell written by Thomas Lee Hazen and published by West Academic. This book was released on 2011 with total page 271 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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).