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Broker-dealer regulation in a nutshell

Hazen, Thomas Lee, 1947-

Publication Details Click to collapse Cite/Export

  • Creator by Thomas Lee Hazen
  • Format Books
  • Publication Second edition. St. Paul, MN : West, [2011] ©2011
  • Series
  • Physical Details
    • xlii, 271 pages ; 19 cm
  • ISBNs 9780314189578, 0314189572
  • OCLC ocn704407749

Notes

  • Includes bibliographical references (page 257) and index.

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