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| LEADER | 02322cam a2200445 i 4500 | |
| 001 | 991022178922402122 | |
| 005 | 20170517110813.0 | |
| 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 |