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Broker-Dealer Regulation in a Nutshell - Hazen, Thomas Lee
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Hazen, Thomas Lee:

Broker-Dealer Regulation in a Nutshell - used book

ISBN: 9780314189578

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 a… More...

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Broker-Dealer Regulation in a Nutshell by Thomas Lee Hazen - Thomas Lee Hazen
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Thomas Lee Hazen:

Broker-Dealer Regulation in a Nutshell by Thomas Lee Hazen - used book

ISBN: 9780314189578

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 a… More...

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Hazen, Thomas:
Broker-Dealer Regulation in a Nutshell (Nutshells) - Paperback

2011

ISBN: 0314189572

[EAN: 9780314189578], Gebraucht, wie neu, [PU: West Academic Publishing], Almost new condition.

  - NOT NEW BOOK. Shipping costs: EUR 16.93 Murray Media, North Miami Beach, FL, U.S.A. [59705792] [Rating: 5 (von 5)]
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Hazen, Thomas:
Broker-Dealer Regulation in a Nutshell - Paperback

2011, ISBN: 9780314189578

Paperback, Great customer service. You will be happy!, Neubuch, P11, [PU: West Academic Publishing]

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Broker-Dealer Regulation in a Nutshell - Hazen, Thomas Lee
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Hazen, Thomas Lee:
Broker-Dealer Regulation in a Nutshell - used book

2011, ISBN: 9780314189578

Softcover book. 271 pages. Published by West Academic (2011) Media >, [PU: West Publishing]

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Broker-Dealer Regulation in a Nutshell
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Title:
ISBN:

9780314189578


This title provides 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 offers an understanding of basic concepts and the underlying regulatory scheme, with explanations of 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).

Details of the book - Broker-Dealer Regulation in a Nutshell


EAN (ISBN-13): 9780314189578
ISBN (ISBN-10): 0314189572
Paperback
Publishing year: 2011
Publisher: WEST PUB
271 Pages
Weight: 0,272 kg
Language: eng/Englisch

Book in our database since 2012-01-29T08:41:32-05:00 (New York)
Detail page last modified on 2024-04-20T17:02:38-04:00 (New York)
ISBN/EAN: 9780314189578

ISBN - alternate spelling:
0-314-18957-2, 978-0-314-18957-8
Alternate spelling and related search-keywords:
Book author: thomas lee, hazen
Book title: nutshell

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