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Regulation of Brokers, Dealers, and Securities Markets

Author: Nicholas Wolfson
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 538

Book Description

Regulation of Brokers, Dealers, and Securities Markets

Author: Nicholas Wolfson
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 538

Book Description

Broker-dealer Regulation in a Nutshell

Author: Thomas Lee Hazen
Publisher: 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).

Broker-dealers and Securities Markets

Author: Sheldon M. Jaffe
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 472

Book Description

Broker-dealer Law and Regulation

Author: Norman S. Poser
Publisher:
ISBN: 9780735567856
Category : Securities
Languages : en
Pages :

Book Description

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 Markets
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 108

Book Description

Broker-dealer Law and Regulation

Author: Norman S. Poser
Publisher: Aspen Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 100

Book Description

Regulation of Brokers, Dealers, and Securities Markets

Author: Nicholas Wolfson
Publisher:
ISBN: 9780882622835
Category : Brokers
Languages : en
Pages :

Book Description

Broker-Dealer Law and Regulation, 5th Edition

Author: Poser, Fanto, Gross
Publisher: Wolters Kluwer Law & Business
ISBN: 1543804969
Category : Stockbrokers
Languages : en
Pages : 1920

Book Description

Regulation of Securities, Markets, and Transactions

Author: Patrick S. Collins
Publisher: John Wiley & Sons
ISBN: 0470601965
Category : Business & Economics
Languages : en
Pages : 384

Book Description
The ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010 Providing readers with expert coverage of domestic securities regulation, this book fills the need for coverage of securities regulations, defining, describing, and explaining everything professionals need to know about domestic securities regulation. Examines the current securities rules Provides an overview of the latest regulations for this industry Includes a description of the various government regulations of securities markets, and securities transactions Since the corporate scandals of 2002, this industry has seen intense scrutiny of how it is regulated. Regulation of Securities, Markets, and Transactions demystifies the new laws and regulations with straightforward, to-the-point coverage professionals need.

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