Broker-dealer regulation in a nutshell

Hazen, Thomas Lee, 1947- author

Publication Details Click to collapse Cite/Export

  • Creator Thomas Lee Hazen
  • Other Title
    • Broker-dealer regulation
  • Format Books
  • Publication
    • Third edition
    • St. Paul, MN : West Academic Publishing, [2017]
    • ©2017
  • Series
  • Physical Details
    • xxxiii, 301 pages ; 19 cm
  • ISBNs 9781634603393, 1634603397
  • OCLC ocn974698568


  • "This title is designed to provide 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 gives you 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. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority)."--


  • Includes bibliographical references (page 287) and index.


  • 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
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