Lee Hazen, Thomas <br/><br/>
Broker-dealer regulation in a nutshell 

 - 3a ed. 
 - Minnesota  West Academic Publishing  2017 
 - 301 p. 
<br/><br/>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. 
<br/><br/><label>ISBN: </label>978-1-63460-339.3 
<br/><br/><label>Subjects--Topical Terms: </label><br/>Corredores de bolsa
<br/><br/><label>Subjects--Index Terms: </label>Estados unidos Legislación 
<br/><br/><label>LC Class. No.: </label>KF/1071/H39/2017