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 back office issues as well as market regulation generally. It gives you an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).


Imprint: West Academic Publishing
Series: Nutshells
Publication Date: 04/26/2021
Related Subject(s): Comml Law-Secured Trans

Thomas Lee Hazen, University of North Carolina School of Law

CasebookPlus™

This title is available in our CasebookPlus format. CasebookPlus provides support beyond your classroom lectures and materials by offering additional digital resources to you and your students. Anchored by faculty-authored formative self-assessments keyed to our most popular casebooks, CasebookPlus allows students to test their understanding of core concepts as they are learning them in class – on their own, outside of the classroom, with no extra work on your part. CasebookPlus combines three important elements:

  • A new print or digital casebook
  • Access to a downloadable eBook with the ability to highlight and add notes
  • 12-month access to a digital Learning Library complete with:
Multiple-choice self-assessment questions, including:
  • Chapter questions keyed to the casebook
  • Black Letter Law questions (available in select subjects)
  • Subject area review questions for end of semester use
Essay and short answer questions with sample answers and expert commentary, in 1L and select upper-level subjects

Leading digital study aids, an outline starter, and audio lectures in select subjects

Students can still utilize CasebookPlus digital resources if they’ve purchased a used book or are renting their text by purchasing the Learning Library at westacademic.com.

With CasebookPlus, you can customize your students’ learning experience and monitor their performance. The quiz editor allows you to create your own custom quiz set, suppress specific quiz questions or quiz sets, and time-release quiz questions. Additionally, the flexible, customized reporting capability helps you evaluate your students’ understanding of the material and can also help your school demonstrate compliance with the new ABA Assessment and Learning Outcomes standards.

Learn more about this series.