MARC Bibliographic Record

LEADER01288cam a2200325Ma 4500
001 9984863683602122
005 20180324142220.0
008 030321t20112011mnu b 001 0 eng d
020    $a9780314189578
020    $a0314189572
035    $a(OCoLC)ocn704407749
035    $a(WU)8486368-uwmadisondb
035    $a(EXLNZ-01UWI_NETWORK)9910100243102121
040    $aMLL$beng$cMLL$dRCJ$dYDXCP
050 _4 $aKF1071$b.H39x 2011
100 1_ $aHazen, Thomas Lee,$d1947-
245 10 $aBroker-dealer regulation in a nutshell /$cby Thomas Lee Hazen.
246 18 $aBroker-dealer regulation
250    $aSecond edition.
264 _1 $aSt. Paul, MN :$bWest,$c[2011]
264 _4 $c©2011
300    $axlii, 271 pages ;$c19 cm.
336    $atext$btxt$2rdacontent
337    $aunmediated$bn$2rdamedia
338    $avolume$bnc$2rdacarrier
490 1_ $aWest nutshell series
504    $aIncludes bibliographical references (page 257) and index.
505 0_ $aThe 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.
650 _0 $aStockbrokers$xLegal status, laws, etc.$zUnited States.
830 _0 $aNutshell series.
997    $aMARCIVE

MMS IDs

Document ID: 9910100243102121
Network Electronic IDs:
Network Physical IDs: 9910100243102121
mms_mad_ids: 9984863683602122