Provides an introduction and overview of broker-dealer regulation in the securities markets. The book covers broker-dealer front office and back office issues as well as market regulation generally. It gives an understanding of basic concepts and the underlying regulatory scheme.
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Provides an introduction and overview of broker-dealer regulation in the securities markets. The book covers broker-dealer front office and back office issues as well as market regulation generally. It gives an understanding of basic concepts and the underlying regulatory scheme.
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