Broker-dealer Liability, 1979 PDF Download
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Author:
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 332
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Book Description
Author:
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 332
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Book Description
Author: Heinz-Dieter Assmann
Publisher: Peter Lang Gmbh, Internationaler Verlag Der Wissenschaften
ISBN:
Category : Business & Economics
Languages : en
Pages : 132
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Book Description
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:
Publisher: Aspen Law & Business Publishers
ISBN:
Category : Business & Economics
Languages : en
Pages : 254
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Book Description
Author: Louis Loss
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 78
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Book Description
Author: Poser, Fanto, Gross
Publisher: Wolters Kluwer Law & Business
ISBN: 1543804969
Category : Stockbrokers
Languages : en
Pages : 1920
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1600
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Book Description
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 128
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Book Description
Author: Merritt B. Fox
Publisher:
ISBN: 9781982966850
Category : Securities
Languages : en
Pages : 476
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Mutual funds
Languages : en
Pages : 974
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Book Description
Author:
Publisher:
ISBN:
Category : United States
Languages : en
Pages : 1320
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Book Description
