Very Good. 0314143858 This Broker Dealer Regulation: Cases & Materials 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. Table of Contents includes: The Regulatory Framework; Broker-Dealers and Public Offerings of Securities; Fraud and Manipulation: An Overview; 'Self Regulation' and Broker-Dealer Registration; Dealers and Market Makers; Recommendations; 'Churning'; Compliance Issues; Civil Liability for Violations; Market Regulation; Financial Responsibility of Broker-Dealers; Regulation of Investment Advisers; Regulation of Mutual Funds (Investment Companies).
Very good. Hardcover. Has minor wear and/or markings. SKU: 9780314143853-3-0-3 Orders ship the same or next business day. Expedited shipping within U.S. will arrive in 3-5 days. Hassle free 14 day return policy. Contact Customer Service for questions. ISBN: 9780314143853.
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