TY  - BOOK
AU  - Hazen,Thomas Lee
TI  - Broker-dealer regulation in a nutshell
T2  - West nutshell series
SN  - 9780314189578 (pbk.)
AV  - KF1071 .H39 2011
U1  - 346.730926 22
PY  - 2011///
CY  - St. Paul, MN
PB  - Thomson/West
KW  - Stockbrokers
KW  - Legal status, laws, etc
KW  - United States
N1  - 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
UR  - http://catdir.loc.gov/catdir/toc/fy12pdf01/2011290899.html
ER  -