The Resource Broker-dealer regulation in a nutshell, Thomas Lee Hazen

Broker-dealer regulation in a nutshell, Thomas Lee Hazen

Label
Broker-dealer regulation in a nutshell
Title
Broker-dealer regulation in a nutshell
Statement of responsibility
Thomas Lee Hazen
Title variation
Broker-dealer regulation
Creator
Author
Subject
Genre
Language
eng
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)."--
Member of
Assigning source
Provided by publisher
Cataloging source
WSTAC
http://library.link/vocab/creatorDate
1947-
http://library.link/vocab/creatorName
Hazen, Thomas Lee
Index
index present
LC call number
KF1071
LC item number
.H39 2017eb
Literary form
non fiction
Nature of contents
  • dictionaries
  • bibliography
Series statement
Nutshell series
http://library.link/vocab/subjectName
  • Stockbrokers
  • Securities
  • Securities
  • Stockbrokers
  • United States
Label
Broker-dealer regulation in a nutshell, Thomas Lee Hazen
Instantiates
Publication
Copyright
Antecedent source
unknown
Bibliography note
Includes bibliographical references (page 287) and index
Carrier category
online resource
Carrier category code
cr
Carrier MARC source
rdacarrier
Color
multicolored
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
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
Dimensions
unknown
Edition
Third edition.
Extent
1 online resource (xxxiii, 301 pages)
File format
unknown
Form of item
online
Isbn
9781634603393
Level of compression
unknown
Media category
computer
Media MARC source
rdamedia
Media type code
c
Note
West Academic
Quality assurance targets
not applicable
Reformatting quality
unknown
Sound
unknown sound
Specific material designation
remote
System control number
  • (OCoLC)987300372
  • (OCoLC)ocn987300372
Label
Broker-dealer regulation in a nutshell, Thomas Lee Hazen
Publication
Copyright
Antecedent source
unknown
Bibliography note
Includes bibliographical references (page 287) and index
Carrier category
online resource
Carrier category code
cr
Carrier MARC source
rdacarrier
Color
multicolored
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
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
Dimensions
unknown
Edition
Third edition.
Extent
1 online resource (xxxiii, 301 pages)
File format
unknown
Form of item
online
Isbn
9781634603393
Level of compression
unknown
Media category
computer
Media MARC source
rdamedia
Media type code
c
Note
West Academic
Quality assurance targets
not applicable
Reformatting quality
unknown
Sound
unknown sound
Specific material designation
remote
System control number
  • (OCoLC)987300372
  • (OCoLC)ocn987300372

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