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Regulation of Brokers and Dealers
Course Number: JRM 5605 Credits: 2
This course focuses on persons who operate or trade in capital markets as well as the market structure itself. Additional topics include the secondary market for public-company stock (namely, the New York Stock Exchange, NASDAQ, and the wide variety of off-exchange trading platforms in existence today) and the rules relating to market transparency, broker duties, and dealer rules for transacting with retail customers.