MARC Bibliographic Record

LEADER02175cam a2200397 i 4500
001 991022178922402122
005 20180324203147.0
008 170304t20172017mnu b 001 0 eng c
019    $a981246520$a981666065$a981867314
020    $a9781634603393
020    $a1634603397
035    $a(OCoLC)974698568$z(OCoLC)981246520$z(OCoLC)981666065$z(OCoLC)981867314
035    $a(OCoLC)ocn974698568
035    $a(EXLNZ-01UWI_NETWORK)9912314739902121
040    $aBTCTA$beng$erda$cBTCTA$dBDX$dYDX$dEMI$dGWL$dRCJ$dGZL
042    $apcc
043    $an-us---
049    $aGZLA
050 _4 $aKF1071$b.H39 2017
100 1_ $aHazen, Thomas Lee,$d1947-$eauthor.
245 10 $aBroker-dealer regulation in a nutshell /$cThomas Lee Hazen.
246 18 $aBroker-dealer regulation
250    $aThird edition.
264 _1 $aSt. Paul, MN :$bWest Academic Publishing,$c[2017]
264 _4 $c©2017
300    $axxxiii, 301 pages ;$c19 cm.
336    $atext$btxt$2rdacontent
337    $aunmediated$bn$2rdamedia
338    $avolume$bnc$2rdacarrier
490 1_ $aNutshell series
504    $aIncludes bibliographical references (page 287) 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.
520    $a"This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority)."--$cProvided by publisher.
650 _0 $aStockbrokers$xLegal status, laws, etc.$zUnited States.
650 _0 $aSecurities$zUnited States.
655 _7 $aStudy guides$2lcgft
830 _0 $aNutshell series.

MMS IDs

Document ID: 9912314739902121
Network Electronic IDs:
Network Physical IDs: 9912314739902121
mms_mad_ids: 991022178922402122