Description

Broker-Dealer Regulation: Cases and Analysis Cheryl Nichols ISBN 9780769891972

Broker-Dealer Regulation: Cases and Analysis offers a clear, practical introduction to the regulatory framework governing the U.S. broker-dealer industry. Blending legal theory with real-world application, the book delivers an integrated, experiential learning approach that benefits both students and instructors. It is well suited for law students, MBA students pursuing concentrations in finance or capital markets, and securities arbitration clinics. The text is designed for use in mixed JD/MBA classrooms as well as in stand-alone MBA courses, and it includes a dedicated chapter on the types of broker-dealer fraud commonly encountered in securities arbitration clinics at U.S. law schools.

The casebook employs sequenced hypotheticals and guided questions to lead students through realistic regulatory problems, requiring them to apply doctrinal knowledge in advising broker-dealers. To ground students in industry practice, Chapter 2 explores the major broker-dealer business models and provides a comprehensive glossary of industry-specific terminology. As the only casebook offering a current and comprehensive overview of broker-dealer regulation, the text emphasizes both federal oversight and self-regulatory regimes, while also addressing recent and emerging developments, including reforms under Dodd-Frank, the JOBS Act, FINRA Rulebook Consolidation, and other evolving regulatory challenges.

Broker-Dealer Regulation: Cases and Analysis Cheryl Nichols ISBN 9780769891972, 978-0769891972 & 9780769893501

Author
Cheryl Nichols