Read Broker-Dealer Regulation in a Nutshell by Thomas Hazen Online
Read ! Broker-Dealer Regulation in a Nutshell PDF by # Thomas Hazen eBook or Kindle ePUB Online free. Broker-Dealer Regulation in a Nutshell This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. 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 i
| Title | : | Broker-Dealer Regulation in a Nutshell |
| Author | : | |
| Rating | : | 4.23 (588 Votes) |
| Asin | : | 0314189572 |
| Format Type | : | paperback |
| Number of Pages | : | 317 Pages |
| Publish Date | : | 2016-04-08 |
| Language | : | English |
Bethesda Jack said Excellent Nutshell, but Numerous Typos in Kindle Edition. 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.. Must Have This book is a must have for anyone new to the financial services sector, looking to brush up on industry knowledge or just looking for a general overview of all the moving parts.. Great Reference! This is a very good source of reference materials on broker-dealer regulation.
This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. 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).
Download Broker-Dealer Regulation in a Nutshell
Download as PDF : Click Here
Download as DOC : Click Here
Download as RTF : Click Here