Broker-Dealer Regulation in a Nutshell

Thomas Lee Hazen

This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).

  • Imprint: West Academic Publishing
  • Format: Paperback
  • ISBN: 9781647083953
  • Publication Date: Apr 2021
  • Availability: In Stock - Despatched Within 5-7 Working Days

Securities Regulation in a Nutshell

Thomas Lee Hazen

  • Imprint: West Academic Publishing
  • Format: Paperback
  • ISBN: 9781642423983
  • Publication Date: Dec 2020
  • Availability: In Stock - Despatched Within 5-7 Working Days

Securities Litigation and Enforcement in a Nutshell

Margaret V. Sachs

  • Imprint: West Academic Publishing
  • Format: Paperback
  • ISBN: 9781647082734
  • Publication Date: Nov 2020
  • Availability: In Stock - Despatched Within 5-7 Working Days

Cybersecurity and Privacy Law in a Nutshell

Jay P. Kesan

Cybersecurity and Privacy Law in a Nutshell by Jay P. Kesan and Carol M. Hayes provides a comprehensive and up-to-date overview of cybersecurity law and policy. Cybersecurity is a serious concern in our lives. It affects individuals, governments, the military, big businesses, small businesses, and law firms themselves. Cybersecurity policy issues implicate both private and public international law, in addition to domestic law. In this Nutshell, we present case law, federal, state and international legislation, administrative actions and regulations, and relevant policy considerations that attorneys and their clients should keep in mind, whether they are working on a case about cybersecurity or just wanting to know more about cybersecurity and privacy in the Internet age.

  • Imprint: West Academic Publishing
  • Format: Paperback
  • ISBN: 9781634602723
  • Publication Date: May 2019
  • Availability: Temporarily out of stock: Usually despatched in 14-18 days