[PDF.40gn] Broker-Dealer Regulation in a Nutshell (Nutshells)

Broker-Dealer Regulation in a Nutshell (Nutshells)

[PDF.rm78] Broker-Dealer Regulation in a Nutshell (Nutshells)

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 | #1182795 in Books |  2011-02-17 |  2011-02-17 | Original language:English | PDF # 1 |  .60 x4.90 x7.20l,.60 | File type: PDF | 317 pages

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||4 of 4 people found the following review helpful.| Excellent Nutshell, but Numerous Typos in Kindle Edition|By Bethesda Jack|This is a very useful "nutshell" regarding broker-dealer regulation, and the Kindle price is nice, but be prepared for very sloppy proofing. The text frequently has words crammed together, without spacing, and has other typos.|1 of 1 people found the following review helpful.|

This title provides 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 offers an understanding of basic concepts and the underlying regulatory scheme, with explanations of sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (th...

You can specify the type of files you want, for your gadget.Broker-Dealer Regulation in a Nutshell (Nutshells)   |  Thomas Hazen. I really enjoyed this book and have already told so many people about it!

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