Broker-dealer : Law and legislation Vol. I

By:

Poser Norman S

Contributor(s):

Fanto James A

Publication details: Austin Kluwer Law International 2011Description: VarieISBN:

9780735567856

Subject(s):

1. Stockbrokers - Legal Status - U S A

DDC classification:

346.092600 POS-I

Contents:

Contents: INTRODUCTION; The Economics and Structure of the Securities Industry; Broker Dealers Within Financial Conglomerates; The Securities Markets; An Overview of the Regulatory System; REGULATION AND COMPLIANCE; Broker Registration and Exemptions; Broker and Associated Person Registration Process; Broker Recordkeeping and Reporting; Privacy and Anti Money Laundering; The Duty to Supervise; Compensation in the Securities Industry; Electronic Trading and the Securities Industry; Financial Regulation of Broker Dealers; Broker-Dealers in Public Offerings; SEC and SRO Enforcement and Disciplinary Proceedings; Penny Stock Regulation; PRIVATE RIGHTS OF ACTION; Liability of Broker Dealers Under Common Law; Fraud Generally; Churning; The Suitability Doctrine; Unauthorized Trading; Market Manipulation; Conflicts of Interest and the Securities Industry; Damages in Actions Against Broker Dealers; Defenses in Actions Against Broker Dealers; Vicarious Liability; ARBITRATION AND MEDIATION; Securities Arbitration: The Legal Context; The SRO Forums; Arbitrability of Securities Disputes; Arbitration Awards; Judicial Review of Arbitral Awards; Mediation

Tags from this library: No tags from this library for this title. Log in to add tags.

Average rating: 0.0 (0 votes)

Holdings
Item type	Current library	Shelving location	Call number	Status	Notes	Date due	Barcode
BOOKs	National Law School	REFERENCE SECTION	346.0926 POS-I (Browse shelf(Opens below))	Not For Loan	Price for the entire Set of Volumes		30513

Contents:
INTRODUCTION;
The Economics and Structure of the Securities Industry;
Broker Dealers Within Financial Conglomerates;
The Securities Markets;
An Overview of the Regulatory System;
REGULATION AND COMPLIANCE;
Broker Registration and Exemptions;
Broker and Associated Person Registration Process;
Broker Recordkeeping and Reporting;
Privacy and Anti Money Laundering;
The Duty to Supervise;
Compensation in the Securities Industry;
Electronic Trading and the Securities Industry;
Financial Regulation of Broker Dealers;
Broker-Dealers in Public Offerings;
SEC and SRO Enforcement and Disciplinary Proceedings;
Penny Stock Regulation;
PRIVATE RIGHTS OF ACTION;
Liability of Broker Dealers Under Common Law;
Fraud Generally;
Churning;
The Suitability Doctrine;
Unauthorized Trading;
Market Manipulation;
Conflicts of Interest and the Securities Industry;
Damages in Actions Against Broker Dealers;
Defenses in Actions Against Broker Dealers;
Vicarious Liability;
ARBITRATION AND MEDIATION;
Securities Arbitration: The Legal Context;
The SRO Forums;
Arbitrability of Securities Disputes;
Arbitration Awards;
Judicial Review of Arbitral Awards;
Mediation

There are no comments on this title.

to post a comment.