Read Broker-Dealer Law and Regulation by Norman S. Poser Online
* Read ^ Broker-Dealer Law and Regulation by Norman S. Poser Æ eBook or Kindle ePUB. Broker-Dealer Law and Regulation 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. 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 * Unsuit
| Title | : | Broker-Dealer Law and Regulation |
| Author | : | |
| Rating | : | 4.34 (510 Votes) |
| Asin | : | 1567065996 |
| Format Type | : | paperback |
| Number of Pages | : | 301 Pages |
| Publish Date | : | 0000-00-00 |
| Language | : | English |
From the Publisher Supplemented annually
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. 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 * 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
"Too narrow a focus as compared to the title." according to A Customer. This book is great if you represent plaintiffs in securities arbitration cases, but it falls short of providing the practical information it promises for running a broker/dealer on a daily basis. As a former general counsel for a Southern California firm, and. good overview This book gives to a foreign lawyer who represents customers of securities dealers a good overview of the american securities dealers law and the procedures his clients have to go through.
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