TY  - BOOK
AU  - Lee Hazen, Thomas
TI  - Broker-dealer regulation in a nutshell
SN  - 978-1-63460-339.3
AV  - KF/1071/H39/2017 
CY  - Minnesota
KW  - Corredores de bolsa
KW  - Estados unidos
KW  - Legislación
N1  - 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
ER  -