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Author :
Publisher :
ISBN 13 :
Total Pages : 332 pages
Book Rating : 4.F/5 ( download)
Download or read book Broker-dealer Liability, 1979 written by and published by . This book was released on 1979 with total page 332 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Heinz-Dieter Assmann
Publisher : Peter Lang Gmbh, Internationaler Verlag Der Wissenschaften
ISBN 13 :
Total Pages : 132 pages
Book Rating : 4.F/5 ( download)
Download or read book The Broker-dealer's Liability for Recommendations written by Heinz-Dieter Assmann and published by Peter Lang Gmbh, Internationaler Verlag Der Wissenschaften. This book was released on 1982 with total page 132 pages. Available in PDF, EPUB and Kindle. Book excerpt: In today's capital markets the individual investor finds it increasingly difficult to gather, select and evaluate all the information that is required to make a reasonable investment decision. It is the broker-dealer who steps into the breach. The service he renders as a professional intermediary of informations culminates in investment recommendations. The threat of being held liable should ensure that a broker-dealer's recommendation is the result of a sound inquiry into the security and the customer's situation. This study examines the extent to which such a remedy is actually provided for under the U.S. securities laws and the so-called suitability rules of self-regulatory organizations (i.e., broker-dealer associations and stock exchanges).
Author : Norman S. Poser
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 100 pages
Book Rating : 4.F/5 ( download)
Download or read book Broker-dealer Law and Regulation written by Norman S. Poser and published by Aspen Publishers. This book was released on 1995 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Norman S. Poser
Publisher : Aspen Publishers
ISBN 13 :
Total Pages : 966 pages
Book Rating : 4.F/5 ( download)
Download or read book Broker-dealer Law and Regulation written by Norman S. Poser and published by Aspen Publishers. This book was released on 1997 with total page 966 pages. Available in PDF, EPUB and Kindle. Book excerpt: From duties under the common law to obligations imposed by the federal securities statutes, The new Second Edition of BROKER-DEALER LAW AND REGULATION covers the full range of the law that protects the relationship between broker-dealers and their customers. This recent update includes not only private rights of action, but also securities arbitration and mediation. Whether you represent a brokerage firm or securities dealer, An employee of the firm or a customer, you'll find insightful analysis of the law and practical, expert advice on such crucial issues as 'Churning' customers' accounts Unsuitable recommendations Unauthorized trading Market manipulation Vicarious liability Defenses that may be asserted against broker-dealers Compensatory and punitive damages Liability of controlling persons Rules of self-regulatory organizations Securities arbitration Mediation of securities disputes Conflicts of interest Appendices containing both the Federal Arbitration Act And The NASD Code of Arbitration Procedure BROKER-DEALER LAW AND REGULATION is also the only available source that fully discusses breach of fiduciary duty and other possible state law claims, which are now much more important under the narrowed scope of SEC Rule 10b-5.
Author : United States. Securities and Exchange Commission. Directorate of Economic and Policy Analysis
Publisher :
ISBN 13 :
Total Pages : 236 pages
Book Rating : 4.:/5 (334 download)
Download or read book Staff Report on the Securities Industry in 1979 written by United States. Securities and Exchange Commission. Directorate of Economic and Policy Analysis and published by . This book was released on 1980 with total page 236 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 858 pages
Book Rating : 4.:/5 (49 download)
Download or read book Securities law review written by and published by . This book was released on 1978 with total page 858 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Louis Loss
Publisher :
ISBN 13 :
Total Pages : 78 pages
Book Rating : 4.:/5 (2 download)
Download or read book "Fraud" and Civil Liability Under the Federal Securities Laws written by Louis Loss and published by . This book was released on 1983 with total page 78 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher : Aspen Law & Business Publishers
ISBN 13 :
Total Pages : 254 pages
Book Rating : 4.F/5 ( download)
Download or read book U.S. Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Harvey L. Pitt
Publisher :
ISBN 13 :
Total Pages : 223 pages
Book Rating : 4.:/5 (225 download)
Download or read book Civil Liabilities Under the Federal Securities Laws written by Harvey L. Pitt and published by . This book was released on 1979* with total page 223 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States
Publisher :
ISBN 13 :
Total Pages : 26 pages
Book Rating : 4.3/5 (121 download)
Download or read book Securities Investor Protection Act of 1970 written by United States and published by . This book was released on 1988 with total page 26 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Poser, Fanto, Gross
Publisher : Wolters Kluwer Law & Business
ISBN 13 : 1543804969
Total Pages : 1920 pages
Book Rating : 4.5/5 (438 download)
Download or read book Broker-Dealer Law and Regulation, 5th Edition written by Poser, Fanto, Gross and published by Wolters Kluwer Law & Business. This book was released on with total page 1920 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 1320 pages
Book Rating : 4.F/5 ( download)
Download or read book American Book Publishing Record written by and published by . This book was released on 1979 with total page 1320 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 1196 pages
Book Rating : 4.3/5 (243 download)
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 2015 with total page 1196 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 602 pages
Book Rating : 4.:/5 (321 download)
Download or read book SEC Monthly Statistical Review written by and published by . This book was released on 1983 with total page 602 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 492 pages
Book Rating : 4.:/5 (31 download)
Download or read book SEC Monthly Statistical Review written by United States. Securities and Exchange Commission and published by . This book was released on 1984 with total page 492 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 196 pages
Book Rating : 4.3/5 ( download)
Download or read book Annual Report of the Securities and Exchange Commission written by United States. Securities and Exchange Commission and published by . This book was released on 1981 with total page 196 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Marc I. Steinberg
Publisher : Law Journal Press
ISBN 13 : 9781588520210
Total Pages : 1220 pages
Book Rating : 4.5/5 (22 download)
Download or read book Securities Regulation written by Marc I. Steinberg and published by Law Journal Press. This book was released on 1984 with total page 1220 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
