Regulation of Brokers, Dealers, and Securities Markets PDF Download
Are you looking for read ebook online? Search for your book and save it on your Kindle device, PC, phones or tablets. Download Regulation of Brokers, Dealers, and Securities Markets PDF full book. Access full book title Regulation of Brokers, Dealers, and Securities Markets by Nicholas Wolfson. Download full books in PDF and EPUB format.
Author: Nicholas Wolfson
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 538
Get Book
Book Description
Author: Nicholas Wolfson
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 538
Get Book
Book Description
Author: Thomas Lee Hazen
Publisher: West Academic Publishing
ISBN: 9780314144621
Category : Law
Languages : en
Pages : 0
Get Book
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.
Author: Sheldon M. Jaffe
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 472
Get Book
Book Description
Author: Thomas Lee Hazen
Publisher: West Academic
ISBN: 9780314189578
Category : Law
Languages : en
Pages : 271
Get Book
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).
Author: New York Stock Exchange. Advisory Committee on International Capital Markets
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 108
Get Book
Book Description
Author: Nicholas Wolfson
Publisher:
ISBN: 9780882622835
Category : Brokers
Languages : en
Pages :
Get Book
Book Description
Author: Norman S. Poser
Publisher:
ISBN: 9780735567856
Category : Securities
Languages : en
Pages :
Get Book
Book Description
Author: Poser, Fanto, Gross
Publisher: Wolters Kluwer Law & Business
ISBN: 1543804969
Category : Stockbrokers
Languages : en
Pages : 1920
Get Book
Book Description
Author:
Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254
Get Book
Book Description
Author: Jerry W. Markham
Publisher:
ISBN: 9780420611307
Category :
Languages : en
Pages :
Get Book
Book Description
This work is a two-volume treatise that zeroes in on crucial back-office operations issues faced by broker-dealers everyday. It includes protection, use of customer funds, net capital requirements, record-keeping, reporting and credit regulations. In addition, the work offers an overview of the historical development of broker-dealer practices and the regulatory framework that has grown up around them. It also integrates coverage of commodities regulation throughout the text, oftern comparing and contrasting the different ways securities and commodities regulatory schemes impact upon specific broker-dealer activities.
