Broker Dealer Regulation: Cases and Materials - Rilegato

Hazen, Thomas Lee; Ratner, David L.

Rilegato

ISBN 10: 0314143858 ISBN 13: 9780314143853

Casa editrice: West Academic, 2002

Riassunto

This law school casebook is devoted to broker-dealer regulation in the securities markets. The book covers SEC and self-regulation of the securities brokerage industry and the securities markets, fraud, manipulation, abusive sales practices, margin regulation, obligations to customers, conflict of interest, and investment advisers. The casebook focuses on regulatory issues as well as civil liabilities of broker-dealers. Designed for use in an advanced course, it includes excerpts from cases and administrative decisions and also from self-regulatory organizations such as the National Association of Securities Dealers (NASD), and also includes materials relating to market regulation generally.

Su questo libro

Product Description:

Book by Hazen Thomas Lee Ratner David L

Su questa edizione

• Editore: West Academic
• Data di pubblicazione: 2002
• ISBN 10: 0314143858
• ISBN 13: 9780314143853
• Rilegatura: Copertina rigida
• Numero di pagine: 277