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Broker-Dealer Regulation: Cases and Analysis - Cheryl Nichols
Product details
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
Details
- ISBN
- 9780769891972
- Publisher
- Carolina Academic Press
- Publication Date
- October 2023
Condition Guide
Every FrugalText book is graded by our receiving team before it ships. Conditions describe cosmetic state only - content is identical across tiers.
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Acceptable
Readable throughout. Expect highlighting, margin notes, and wear on cover or spine. Best price for the same page numbers.
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Good
Minor highlighting or notes. All pages intact. Cover shows light shelf wear.
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Very Good
Little to no writing. Binding tight. Looks barely used.
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Brand New
Unused and unmarked. Shrinkwrapped when available from the publisher.
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Brand New + eBook
Brand new print copy plus the publisher's eBook and supplemental digital access, where offered.
Shipping & Returns
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Fast, standard shipping
Most students receive their books in 3 to 9 business days.
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Rental returns: free at semester's end, prorated if early
Print a prepaid return label from your account whenever you have finished with the book, and drop it at the carrier listed on the label. Returning it by your semester return date, or after it is already overdue, is free with no deduction. Returning it early, before that date, deducts a 15% restocking fee and the label cost from your refund.
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Purchase returns: 15% restocking fee
Purchases can be returned within 30 days in the condition you received. We will email a prepaid return label; once we receive your book, we refund the purchase price minus the 15% restocking fee and the return label cost. Original shipping is non-refundable.
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Shipping costs calculated at checkout
Real-time rates are quoted at checkout based on your address and the books in your cart. Returning your book by your semester date is always free; an early return deducts the restocking fee and label cost from your refund instead.
Rental Terms
Return by December 28, 2026 for Fall 2026 rentals.
- Late Fees
- Books returned after the semester deadline accrue a weekly late fee of about 10% of the book's Brand New price, for each copy that is overdue. The rent you have already paid counts toward the book's replacement value (its Brand New price), so late fees stop once your rent plus late fees reach it. That replacement value is the most a rental can ever cost you. We email a reminder 48 hours before any charge, and any late fees are charged to the payment method you save at checkout.
- Damage Fees
- Books returned damaged beyond normal classroom wear may be assessed a damage fee, capped at the book's replacement value (its Brand New price). Any damage fees are charged to the payment method you save at checkout after we inspect the returned book.
- Return Shipping
- Returning your book is free with no deduction if it reaches us by your semester return date, or after it's already overdue. Print a prepaid label (USPS or UPS, whichever is cheaper for your package) from your account's My Rentals page. Returning it EARLY, before your semester return date, deducts a 15% restocking fee and the label cost from your refund, the same as cancelling a shipped rental for a refund.
- 30-Day Cancellation
- Changed your mind? Cancel an active rental within 30 days of your order from My Account → My Rentals. Cancel before your book ships and it’s free; once it has shipped, we refund the rental price minus a 15% restocking fee and the return label cost, released once we receive your book. Shipping is non-refundable.
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