Thomas Hazen's Broker-Dealer Regulation in a Nutshell, 2d PDF

By Thomas Hazen

This name offers an creation and assessment of broker-dealer rules within the securities markets. It covers broker-dealer entrance place of work and again place of work concerns, in addition to industry rules often. It bargains an knowing of easy ideas and the underlying regulatory scheme, with factors of revenues practices, analysts' conflicts of curiosity, civil liabilities, and arbitration. This name additionally presents an outline of self-regulation lower than FINRA (the monetary Regulatory Authority).

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Broker-Dealer Regulation in a Nutshell, 2d by Thomas Hazen


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