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Broker-Dealer Regulation in a Nutshell, 4th Edition provides the student a detailed overview of regulation concepts, including an overview of securities regulation, an introduction to the securities markets, an overview of SEC and self-regulation, and an overview of securities laws’ anti-manipulation and anti-fraud provisions, among others. This textbook is direct and concise with systematic content designed to engage today’s student through visually engaging content. There is a wide variety of assignment types that help students master regulation concepts and build real-world working capability. Broker-Dealer Regulation in a Nutshell, 4th Edition goes into broker-dealer definitions and registration requirements, broker-dealer financial regulation, exchange trading and market making, and retail and other operations. A chapter is broken down into obligations to customers. Buy Broker-Dealer Regulation in a Nutshell, 4th Edition and be confident in your regulation education and career.
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