Author: Nicholas WolfsonPublisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 538
Book Description
Regulation of Brokers, Dealers, and Securities Markets
Author: Nicholas WolfsonPublisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 538
Book Description
Broker-dealer Regulation in a Nutshell
Author: Thomas Lee HazenPublisher: West Academic Publishing
ISBN: 9780314144621
Category : Law
Languages : en
Pages : 0
Book Description
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 with an understanding of basic concepts and the basic regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration.
Broker-dealers and Securities Markets
Author: Sheldon M. JaffePublisher:
ISBN:
Category : Brokers
Languages : en
Pages : 472
Book Description
Broker-dealer Regulation in a Nutshell
Author: Thomas Lee HazenPublisher: West Academic
ISBN: 9780314189578
Category : Law
Languages : en
Pages : 271
Book Description
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 with 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).
Recommendations on Access and Membership by Foreign-controlled Broker-dealers to the U. S. Securities Markets
Author: New York Stock Exchange. Advisory Committee on International Capital MarketsPublisher:
ISBN:
Category : Brokers
Languages : en
Pages : 108
Book Description
Regulation of Brokers, Dealers, and Securities Markets
Author: Nicholas WolfsonPublisher:
ISBN: 9780882622835
Category : Brokers
Languages : en
Pages :
Book Description
The New Stock Market
Author: Merritt B. FoxPublisher: Columbia University Press
ISBN: 023154393X
Category : Business & Economics
Languages : en
Pages : 612
Book Description
The U.S. stock market has been transformed over the last twenty-five years. Once a market in which human beings traded at human speeds, it is now an electronic market pervaded by algorithmic trading, conducted at speeds nearing that of light. High-frequency traders participate in a large portion of all transactions, and a significant minority of all trade occurs on alternative trading systems known as “dark pools.” These developments have been widely criticized, but there is no consensus on the best regulatory response to these dramatic changes. The New Stock Market offers a comprehensive new look at how these markets work, how they fail, and how they should be regulated. Merritt B. Fox, Lawrence R. Glosten, and Gabriel V. Rauterberg describe stock markets’ institutions and regulatory architecture. They draw on the informational paradigm of microstructure economics to highlight the crucial role of information asymmetries and adverse selection in explaining market behavior, while examining a wide variety of developments in market practices and participants. The result is a compelling account of the stock market’s regulatory framework, fundamental institutions, and economic dynamics, combined with an assessment of its various controversies. The New Stock Market covers a wide range of issues including the practices of high-frequency traders, insider trading, manipulation, short selling, broker-dealer practices, and trading venue fees and rebates. The book illuminates both the existing regulatory structure of our equity trading markets and how we can improve it.
Broker-dealer Law and Regulation
Author: Norman S. PoserPublisher:
ISBN: 9780735567856
Category : Securities
Languages : en
Pages :
Book Description
Broker-Dealer Law and Regulation, 5th Edition
Author: Poser, Fanto, GrossPublisher: Wolters Kluwer Law & Business
ISBN: 1543804969
Category : Stockbrokers
Languages : en
Pages : 1920
Book Description
U.S. Regulation of the International Securities and Derivatives Markets
Author: Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254
Book Description