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Broker-dealer regulation in a nutshell
- Author / Creator
- Available as
- Physical
Details
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- Creator
- Thomas Lee Hazen, Cary C. Boshamer Distinguished professor of law, The University of North Carolina at Chapel Hill
- Format
- Books
- Language
- English
- Publication
-
- Fourth edition
- St. Paul, MN : West Academic Press, [2021]
- ©2021
- Series
- Physical Details
-
- xxxix, 387 pages ; 19 cm
- ISBNs
- 9781647083953, 1647083958
- OCLC
- on1247828851
- Includes bibliographical information (page 373) and index.
- Overview of securities regulation -- Introduction to the securities markets -- Overview of SEC and self-regulation -- Overview of securities laws' anti-manipulation and anti-fraud provisions -- Broker-dealer definitions and registration requirements -- Broker-dealer financial regulation -- Exchange trading and market making -- Retail and other operations --Obligations to customers: manipulative and deceptive broker-dealer practices -- Civil liabilities -- Arbitration of broker-dealer disputes