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Fundamentals of Securities Regulation

Download or Read eBook Fundamentals of Securities Regulation PDF written by Louis Loss and published by Wolters Kluwer Law & Business. This book was released on 2018 with total page 0 pages. Available in PDF, EPUB and Kindle.
Fundamentals of Securities Regulation
Author :
Publisher : Wolters Kluwer Law & Business
Total Pages : 0
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ISBN-10 : 1543802753
ISBN-13 : 9781543802757
Rating : 4/5 (53 Downloads)

Book Synopsis Fundamentals of Securities Regulation by : Louis Loss

Book excerpt: Previous editions : 2011 (6th), 1983 (1st).


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Fundamentals of Securities Regulation
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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 b
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In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investmen
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