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 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).
This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front of...
CasebookPlus Hardbound - New, hardbound print book includes lifetime digital access to an eBook, with the ability to highlight and take notes, and 12-month access to a digital Learning Library that includes self-assessment quizzes tied to this book, leading study aids, an outline starter, and Gilbert Law Dictionary.
CasebookPlus Hardbound - New, hardbound print book includes lifetime digital access to an eBook, with the ability to highlight and take notes, and 12-...
This supplement is designed for a basic business organizations course focusing on corporations, limited liability companies, and partnerships. Statutes include up-to-date versions of the Model Business Corporation Act (along with the official comments) as well as the Uniform Partnership and Limited Partnership acts. The supplement also contains the Delaware Corporation Law and Delaware's Limited Liability Company Act. Selections from the federal securities laws that are typically covered in the basic business organizations course are also included. The supplement also contains some sample...
This supplement is designed for a basic business organizations course focusing on corporations, limited liability companies, and partnerships. Statute...
Selections in the book include the text of basic federal securities laws, related Securities and Exchange Commission (SEC) rules and forms, and other selected related laws and regulations. It is designed as a supplement to securities regulation texts used in law school courses, but it can also serve as a reference for professionals.
Selections in the book include the text of basic federal securities laws, related Securities and Exchange Commission (SEC) rules and forms, and other ...