Read Broker-Dealer Regulation in a Nutshell (Nutshell Series) by Thomas Lee Hazen Online
Read [Thomas Lee Hazen Book] * Broker-Dealer Regulation in a Nutshell (Nutshell Series) Online # PDF eBook or Kindle ePUB free. Broker-Dealer Regulation in a Nutshell (Nutshell Series) sf mommy 99 said Just the right amount. A very good overview, just the right amount to inform without getting into too much minutiae.. Good Reference E Neel This is a book only for reference. Good history as to the development of some of the laws. People in the industry should read to help explain some of the methods to the madness.]
| Title | : | Broker-Dealer Regulation in a Nutshell (Nutshell Series) |
| Author | : | |
| Rating | : | 4.76 (652 Votes) |
| Asin | : | 0314144625 |
| Format Type | : | paperback |
| Number of Pages | : | 235 Pages |
| Publish Date | : | 2015-01-07 |
| Language | : | English |
sf mommy 99 said Just the right amount. A very good overview, just the right amount to inform without getting into too much minutiae.. Good Reference E Neel This is a book only for reference. Good history as to the development of some of the laws. People in the industry should read to help explain some of the methods to the madness.
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. It covers broker-dealer front office and back office issues as well as market regulation generally. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).. This title is designed to provide an introduction and overview of broker-dealer regulation
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