translate
Blog

Broker-Dealer Regulation in a Nutshell, 4th Edition

  •  

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!
 

More from the blog

The revised and updated 5th edition of Military Law in a Nutshell is now available on West Academic Digital Library . "It is intended as an authoritative resource for those seeking a succinct summary of military law and justice. It is designed for use by practicing lawyers seeking a succinct...
Looking for information about a company’s finances or operations? Check out the Security Exchange Commission’s (SEC) publicly available database, EDGAR . EDGAR provides access to documents filed by companies under the Securities Act of 1933 , the Securities Exchange Act of 1934 , the Trust...
The 3rd edition of International Sales Law - CISG - in a Nutshell is now available on West Academic Digital Library . "Knowing about the United Nations Convention on Contracts for the International Sale of Goods (CISG) means to know about the law relating to international import/export contracts...