Broker-Dealer Regulation: Cases and Analysis
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Broker-Dealer Regulation uses sequenced hypotheticals and questions to walk students through real-world problems. This approach requires students to apply knowledge gained from the textbook to provide regulatory advice to a broker-dealer. To aid student understanding of the business of broker-dealers, Chapter 2 is devoted to describing various broker-dealer business models and includes a glossary of terms specific to the U.S. broker-dealer industry.
Broker-Dealer Regulation is the only casebook available that presents a comprehensive and current overview of the broker-dealer regulatory framework. It focuses on the federal and self-regulatory framework for broker-dealers along with an in-depth discussion of the current regulatory developments such as changes due to Dodd Frank, the JOBS Act, FINRA Rulebook Consolidation, and other emerging regulatory issues.
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