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Lexis Nexis Broker-Dealer Regulation: Cases and Analysis
Broker-Dealer Regulation is the only casebook available that presents a comprehensive and current overview of the broker-dealer regulatory framework.
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Carolina Academic Press
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Subscribers receive the product(s) listed on the Order Form and any Updates made available during the annual subscription period. Shipping and handling fees are not included in the annual price.
Subscribers are advised of the number of Updates that were made to the particular publication the prior year. The number of Updates may vary due to developments in the law and other publishing issues, but subscribers may use this as a rough estimate of future shipments. Subscribers may call Customer Support at 800-833-9844 for additional information.
Subscribers may cancel this subscription by: calling Customer Support at 800-833-9844; emailing customer.support@lexisnexis.com; or returning the invoice marked "CANCEL".
If subscribers cancel within 30 days after the product is ordered or received and return the product at their expense, then they will receive a full credit of the price for the annual subscription.
If subscribers cancel between 31 and 60 days after the invoice date and return the product at their expense, then they will receive a 5/6th credit of the price for the annual subscription. No credit will be given for cancellations more than 60 days after the invoice date. To receive any credit, subscriber must return all product(s) shipped during the year at their expense within the applicable cancellation period listed above.
Subscribers receive the product(s) listed on the Order Form and any Updates made available during the annual subscription period. Shipping and handling fees are not included in the annual price.
Subscribers are advised of the number of Updates that were made to the particular publication the prior year. The number of Updates may vary due to developments in the law and other publishing issues, but subscribers may use this as a rough estimate of future shipments. Subscribers may call Customer Support at 800-833-9844 for additional information.
Subscribers may cancel this subscription by: calling Customer Support at 800-833-9844; emailing customer.support@lexisnexis.com; or returning the invoice marked 'CANCEL'.
If subscribers cancel within 30 days after the product is ordered or received and return the product at their expense, then they will receive a full credit of the price for the annual subscription.
If subscribers cancel between 31 and 60 days after the invoice date and return the product at their expense, then they will receive a 5/6th credit of the price for the annual subscription. No credit will be given for cancellations more than 60 days after the invoice date. To receive any credit, subscriber must return all product(s) shipped during the year at their expense within the applicable cancellation period listed above.
Product description
Broker-Dealer Regulation: Cases and Analysis provides a clear understanding of the regulatory framework governing the U.S. broker-dealer industry in a real-world context. It combines theory and practice for an integrative, experiential learning experience for both the student and the teacher. This book is appropriate for law students, MBA students seeking a concentration in finance and/or capital markets, and securities arbitration clinics. Specifically, Broker-Dealer Regulation is designed to facilitate teaching MBA and JD students in the same classroom as well as for use in a stand-alone course for MBA students seeking concentrations in finance or capital markets. It also includes a chapter on the specific types of broker-dealer fraud typically seen in cases handled by securities arbitration clinics established in various U.S. law schools.
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.
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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