Broker-dealer regulation in a nutshell / Thomas Lee Hazen.
Material type:
TextSeries: Nutshell series: Publisher: St. Paul, MN : Thomson/West, c2011Edition: 2nd edDescription: xlii, 271 p. ; 19 cmISBN: 9780314189578 (pbk.); 0314189572 (pbk.)Subject(s): Stockbrokers -- Legal status, laws, etc. -- United StatesDDC classification: 346.730926 LOC classification: KF1071 | .H39 2011Online resources: Table of contents only | Item type | Current library | Call number | Copy number | Status | Notes | Date due | Barcode |
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Female Library | KF1071 .H39 2011 (Browse shelf (Opens below)) | 1 | Available | STACKS | 51952000112099 | |
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Main Library | KF1071 .H39 2011 (Browse shelf (Opens below)) | 1 | Available | STACKS | 51952000138495 |
Includes bibliographical references and index.
The markets and self regulation -- Broker-dealer definitions and registration requirements -- Exchange trading and market making -- Retail and other operations -- Manipulative and deceptive practices -- Civil liabilities -- Arbitration of broker-dealer disputes.
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