书目详细信息
： Broker-dealer law and regulation /
书目信息 机读格式(MARC)
| ISBN： | 9780735567856 (set : loose-leaf : alk. paper) |
|---|---|
| ISBN： | 9780735569171 (v. 1) |
| ISBN： | 9780735569188 (v. 2) |
| 编目源： | DLC DLC DLC |
| 地理区域代码： | n-us--- |
| 个人名称： | Poser, Norman S.,1928- |
| 题名： | Broker-dealer law and regulation / 1 Norman S. Poser, James A. Fanto. |
| 版本说明： | 4th ed. |
| 索书号： | D971.222.8/P855E/1 |
| 出版发行项： | [Frederick, MD] : Austin : Aspen Publishers ; Wolters Kluwer Law & Business, c2007- |
| 载体形态： | v. (loose-leaf) ; 26 cm. |
| 书目附注： | Includes bibliographical references and index. |
| 格式化内容附注： | v. 1. The economics and structure of the securities industry -- Broker-dealers within financial conglomerates -- The securities markets -- An overview of the regulatory system -- 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 -- v. 2. Liability of broker-dealers under common law -- Fraud generally -- Churning -- The suitability doctrine -- Unauthorized trading -- Market manipulation -- Conflicts of interst and the securities industry -- Damages in actions against broker-dealers -- Defenses in actions against broker-dealers -- Vicarious liability -- Securities arbitration: the legal context -- The SRO forums -- Arbitrability of securities disputes -- Arbitration awards -- Judicial review of arbitral awards -- Mediation. |