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Broker-Dealer Regulation

Cases and Analysis

Cheryl Nichols
eISBN-13: 9780769893501

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Additional Book Details

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.

Sold By Carolina Academic Press
ISBNs 9780769891972, 0769891977, 9780769893501, 0769893503
Language English
Number of Pages 1050