Broker-dealer law and regulation
著者
書誌事項
Broker-dealer law and regulation
Aspen Publishers , Wolters Kluwer Law & Business, c2007
4th ed
- : set
- v. 1
- v. 2
大学図書館所蔵 件 / 全3件
-
該当する所蔵館はありません
- すべての絞り込み条件を解除する
注記
Includes bibliographical references and index
内容説明・目次
内容説明
Whether you represent brokerage firms and their employees or shareholders and investors, your clients depend on your informed counsel to help them thrive in today's securities markets. With Broker-Dealer Law and Regulation, Fourth Edition, the authoritative analysis and practical guidance you need to advise clients on their rights, duties, and liabilities under today's complex securities regulations is at your fingertips. Written by two of America's leading securities authorities, Norman S. Poser and James A. Fanto, Broker-Dealer Law and Regulation gives you reliable guidance on the latest federal and state law governing private litigation and arbitration between broker-dealers and their customers, as well as regulation by the SEC and the SROs.
Broker-Dealer Law and Regulation has been completely revised to cover all of the important regulatory changes and developments in case law affecting broker-dealers. The new Fourth Edition includes:
New chapters covering the structure of the securities markets, the regulation of broker-dealers in public offerings, and SEC and SRO enforcement
An increased emphasis on regulation and compliance
Expanded analysis of the technological advances in securities trading and information dissemination
Coverage of newly created securities
Analysis of the relationships between broker-dealer firms and other financial institutions
Expanded coverage of broker-dealer registration, recordkeeping, reporting, examination requirements, exemptions, and more
Consideration of the roles of securities firms in corporate abuses
Analysis of the proliferation of regulatory requirements, including Gramm Leach-Bliley, USA PATRIOT Act, Sarbanes-Oxley, as well as new SEC and SRO rules
Updated and expanded chapters on fiduciary duty, securities fraud, preemption of state law, damages, vicarious liability, and other related topics
New insight into important securities law decisions of the Supreme Court and other courts, as well as SEC and SRO rules bearing on these matters
Up-to-date guide to the legal rights, duties, and potential liabilities of broker-dealers and their associated persons
「Nielsen BookData」 より