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Broker-dealer regulation in a nutshell

By: Lee Hazen, ThomasMaterial type: TextTextOriginal language: Spanish Publisher: Minnesota ; West Academic Publishing ; 2017Edition: 3a edDescription: 301 pISBN: 978-1-63460-339.3Subject(s): Corredores de bolsa | Estados unidos | LegislaciónLOC classification: KF/1071/H39/2017
Contents:
Contiene: 1. The markets and self-regulation.- 2. Broker –dealer definitions and registration requirements.- 3. Exchange trading and market making.- 4. Retail and other operations.- 5. Manipulative and deceptive.- 6. Civil liabilities.- 7. Arbitration of bróker dealer disputes.
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Libros Libros Biblioteca de la Superintendencia del Mercado de Valores - SMV
KF/1071/H39/2017 (Browse shelf) Checked out 04/01/2023 00010173

Contiene: 1. The markets and self-regulation.- 2. Broker –dealer definitions and registration requirements.- 3. Exchange trading and market making.- 4. Retail and other operations.- 5. Manipulative and deceptive.- 6. Civil liabilities.- 7. Arbitration of bróker dealer disputes.

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