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Broker-Dealer Regulation in a Nutshell, 4th Edition

By Thomas Baer •  April 22, 2021
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The newly released 4th edition of Broker-Dealer Regulation in a Nutshell is now available on West Academic Digital Library. This title focuses on broker-dealer and securities market regulation, covering broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. The title also provides an overview of the Securities and Exchange Commission (SEC) and industry self-regulation under the Financial Industry Regulatory Authority (FINRA).

Chapters include, “ Broker-Dealer Definitions and Registration Requirements”, “Exchange Trading and Market Making”, “Retail and Other Operations”, “Civil Liabilities”, and “Arbitration of Broker-Dealer Disputes”.

Members can access Broker-Dealer Regulation in a Nutshell remotely in West Academic Digital Library. Need help navigating the database? Ask us!
 

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