Broker-Dealer Regulation in a Nutshell (Nutshells) 2nd Edition

This is a very useful "nutshell" regarding broker-dealer regulation, and the Kindle price is nice, but be prepared for very sloppy proofing. The text frequently has words crammed together, without spacing, and has other typos.

This book is a must have for anyone new to the financial services sector, looking to brush up on industry knowledge or just looking for a general overview of all the moving parts.

This is a very good source of reference materials on broker-dealer regulation.