Broker-dealer regulation in a nutshell
Resource Information
The work Broker-dealer regulation in a nutshell represents a distinct intellectual or artistic creation found in University of San Diego Libraries. This resource is a combination of several types including: Work, Language Material, Books.
The Resource
Broker-dealer regulation in a nutshell
Resource Information
The work Broker-dealer regulation in a nutshell represents a distinct intellectual or artistic creation found in University of San Diego Libraries. This resource is a combination of several types including: Work, Language Material, Books.
- Label
- Broker-dealer regulation in a nutshell
- Statement of responsibility
- Thomas Lee Hazen
- Title variation
- Broker-dealer regulation
- Language
- eng
- Summary
- "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)."--
- Assigning source
- Provided by publisher
- Cataloging source
- WSTAC
- Index
- index present
- LC call number
- KF1071
- LC item number
- .H39 2017 ONLINE
- Literary form
- non fiction
- Nature of contents
-
- dictionaries
- bibliography
- Series statement
- Nutshell series
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<div class="citation" vocab="http://schema.org/"><i class="fa fa-external-link-square fa-fw"></i> Data from <span resource="http://link.sandiego.edu/resource/sF-5i07bPY0/" typeof="CreativeWork http://bibfra.me/vocab/lite/Work"><span property="name http://bibfra.me/vocab/lite/label"><a href="http://link.sandiego.edu/resource/sF-5i07bPY0/">Broker-dealer regulation in a nutshell</a></span> - <span property="potentialAction" typeOf="OrganizeAction"><span property="agent" typeof="LibrarySystem http://library.link/vocab/LibrarySystem" resource="http://link.sandiego.edu/"><span property="name http://bibfra.me/vocab/lite/label"><a property="url" href="http://link.sandiego.edu/">University of San Diego Libraries</a></span></span></span></span></div>
