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Broker-dealer regulation in a nutshell / Thomas Lee Hazen, Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill

Author
Hazen, Thomas Lee, 1947-
Additional Titles
Broker-dealer regulation
Published
St. Paul, MN : West Academic Press, [2021]
Edition
Fourth edition.
Physical Description
xxxix, 387 pages ; 19 cm.

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Series
Contents
Overview of securities regulation -- Introduction to the securities markets -- Overview of SEC and self-regulation -- Overview of securities laws' anti-manipulation and anti-fraud provisions -- Broker-dealer definitions and registration requirements -- Broker-dealer financial regulation -- Exchange trading and market making -- Retail and other operations -- Obligations to customers : manipulative and deceptive broker-dealer practices -- Civil liabilities -- Arbitration of broker-dealer disputes.
Subject(s)
Genre(s)
ISBN
9781647083953
1647083958
Other Edition
Revision of: Hazen, Thomas Lee, 1947- Third edition. St. Paul, MN : West Academic Publishing, [2017]
Bibliography Note
Includes bibliographical information (page 373) and index.
View MARC record | catkey: 33847536