Coverart for item
The Resource Broker-dealer regulation in a nutshell, Thomas Lee Hazen, Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill

Broker-dealer regulation in a nutshell, Thomas Lee Hazen, Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill

Label
Broker-dealer regulation in a nutshell
Title
Broker-dealer regulation in a nutshell
Statement of responsibility
Thomas Lee Hazen, Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill
Title variation
Broker-dealer regulation
Creator
Author
Subject
Genre
Language
eng
Member of
Cataloging source
BTCTA
http://library.link/vocab/creatorDate
1947-
http://library.link/vocab/creatorName
Hazen, Thomas Lee
Index
index present
LC call number
KF1071
LC item number
.H39 2017
Literary form
non fiction
Nature of contents
bibliography
Series statement
Nutshell series
http://library.link/vocab/subjectName
  • Stockbrokers
  • Securities
Label
Broker-dealer regulation in a nutshell, Thomas Lee Hazen, Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill
Instantiates
Publication
Copyright
Bibliography note
Includes bibliographical references (page 287) and index
Carrier category
volume
Carrier category code
nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
  • The
  • Markets and self-regulation
  • Broker-dealer definitions and registration requirements
  • Exchange trading and market making
  • Retail and other operations
  • Manipulative and deceptive
  • Civil liabilities
  • Arbitration of broker-dealer disputes
Control code
974698568
Dimensions
19 cm
Edition
Third edition
Extent
xxxiii, 301 pages
Isbn
9781634603393
Media category
unmediated
Media MARC source
rdamedia
Media type code
n
System control number
(OCoLC)974698568
Label
Broker-dealer regulation in a nutshell, Thomas Lee Hazen, Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill
Publication
Copyright
Bibliography note
Includes bibliographical references (page 287) and index
Carrier category
volume
Carrier category code
nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
  • The
  • Markets and self-regulation
  • Broker-dealer definitions and registration requirements
  • Exchange trading and market making
  • Retail and other operations
  • Manipulative and deceptive
  • Civil liabilities
  • Arbitration of broker-dealer disputes
Control code
974698568
Dimensions
19 cm
Edition
Third edition
Extent
xxxiii, 301 pages
Isbn
9781634603393
Media category
unmediated
Media MARC source
rdamedia
Media type code
n
System control number
(OCoLC)974698568

Library Locations

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