Read Books Online and Download eBooks, EPub, PDF, Mobi, Kindle, Text Full Free.
The Broker Dealers Liability For Recommendations
Download The Broker Dealers Liability For Recommendations full books in PDF, epub, and Kindle. Read online The Broker Dealers Liability For Recommendations ebook anywhere anytime directly on your device. Fast Download speed and no annoying ads. We cannot guarantee that every ebooks is available!
Author :Heinz-Dieter Assmann Publisher :Peter Lang Gmbh, Internationaler Verlag Der Wissenschaften ISBN 13 : Total Pages :132 pages Book Rating :4.F/5 ( download)
Book Synopsis The Broker-dealer's Liability for Recommendations by : Heinz-Dieter Assmann
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).
Book Synopsis Broker-dealer Law and Regulation by : Norman S. Poser
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.
Book Synopsis Broker-dealer Law and Regulation by : Norman S. Poser
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:
Book Synopsis Liability of Securities Brokers to Investors in American Law by : Stephen Leacock
Download or read book Liability of Securities Brokers to Investors in American Law written by Stephen Leacock and published by . This book was released on 2016 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities brokers and corporate officers in the Unites States now run more serious risks of liability to investors whom they tip. The Supreme Court decision in Bateman Eichler, Hill Richards, Inc. v. Berner will sharply curtail successful use of the in pari delicto defense, which in the past frequently barred liability. Prior to Berner, stockbrokers and corporate insiders had been allowed by the courts to successfully invoke the in pari delicto defense to nullify claims by investors who lost money on the tips. The legal rationale was that such investors as plaintiffs did not come to court with clean hands if they had: (a) accepted information which a reasonable person would have believed to be non-public inside information; and (b) traded in securities without disclosing this information. Such plaintiffs were necessarily active knowing participants in illegal acts, equally at fault with their tippers (i.e., in pari delicto), and therefore precluded from recovery on their claims.Indeed, insider trading is most effectively deterred where enforcement measures are directed against corporate insiders and broker-dealers, the most usual sources of material non-public information and those most likely to respond to deterrent pressure from sanctions. In light of Berner, courts must apply the following two-step analysis to determine when the in pari delicto defense can be successfully invoked in securities actions involving section 10(b) of the 1934 Securities Exchange Act and Rule 10b-5. First, a balancing process is appropriate to determine if the fault of the parties involved was substantially equal. Financial sophistication of the parties will undoubtedly be an important factor in the courts' determination of the relative culpability of the parties. The Supreme Court observed that corporate insiders and broker-dealers are more likely to be informed of securities regulations and what constitutes violations than the average investor. Secondly, the in pari delicto defense will be successful only in situations where the court concludes that preclusion of the suit would not interfere with enforcement of securities laws and protection of the investing public.
Book Synopsis Broker, Dealer Liability by : David M. Brodsky
Download or read book Broker, Dealer Liability written by David M. Brodsky and published by . This book was released on 1978 with total page 328 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Broker-Dealer Law and Regulation, 5th Edition by : Poser, Fanto, Gross
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:
Book Synopsis Broker-dealer Liability for Disciplinary Sanctions for Failure to Supervise Selling Practices by : Frank A. Labor (III.)
Download or read book Broker-dealer Liability for Disciplinary Sanctions for Failure to Supervise Selling Practices written by Frank A. Labor (III.) and published by . This book was released on 1989 with total page 396 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises Publisher : ISBN 13 : Total Pages :580 pages Book Rating :4.:/5 (319 download)
Book Synopsis Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight by : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Download or read book Ensuring Appropriate Regulatory Oversight of Broker-dealers and Legislative Proposals to Improve Investment Adviser Oversight written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises and published by . This book was released on 2012 with total page 580 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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:
Book Synopsis Broker-dealer Law and Regulation by : Norman S. Poser
Download or read book Broker-dealer Law and Regulation written by Norman S. Poser and published by . This book was released on 2007 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Suitability Claims and Purchases of Unrecommended Securities by : Frederick Mark Gedicks
Download or read book Suitability Claims and Purchases of Unrecommended Securities written by Frederick Mark Gedicks and published by . This book was released on 2015 with total page 54 pages. Available in PDF, EPUB and Kindle. Book excerpt: It is well-established th ...
Book Synopsis U.S. Regulation of the International Securities and Derivatives Markets by :
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 :United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee Publisher : ISBN 13 : Total Pages :318 pages Book Rating :4.3/5 (243 download)
Book Synopsis Guide to Broker-dealer Compliance by : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
Download or read book Guide to Broker-dealer Compliance written by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and published by . This book was released on 1974 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Accounting Guide written by AICPA and published by John Wiley & Sons. This book was released on 2019-11-19 with total page 464 pages. Available in PDF, EPUB and Kindle. Book excerpt: It is critical to understand the complexities of the specialized accounting and regulatory requirements needed for the broker-dealer industry. This comprehensive guide has been designed to be beneficial for a wide range of professionals within the broker-dealer industry. Updates to this edition are to conform the content to current accounting standards and regulatory requirements. The updates include: SEC Release No. 34-86073, Amendment to Single Issuer Exemption for Broker-Dealers; ASU No. 2018-09, Codification Improvements; and, SEC Release Nos. 33-10532; 34-83875; IC-33203, Disclosure Update and Simplification. In addition, this edition features a new example disclosure note for revenue from contracts with customers, which has been added to the guide's illustrative financial statements and footnote disclosures.
Book Synopsis Broker-Dealer Compliance by : James A. Fanto
Download or read book Broker-Dealer Compliance written by James A. Fanto and published by Edward Elgar Publishing. This book was released on 2023-01-20 with total page 223 pages. Available in PDF, EPUB and Kindle. Book excerpt: Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
Book Synopsis Securities Exchange Act of 1934 Release by : United States. Securities and Exchange Commission
Download or read book Securities Exchange Act of 1934 Release written by United States. Securities and Exchange Commission and published by . This book was released on 1962 with total page 868 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Investment Adviser Regulation by : Clifford E. Kirsch
Download or read book Investment Adviser Regulation written by Clifford E. Kirsch and published by . This book was released on 2006 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
