ISBN: | 9780735567856 (set : loose-leaf : alk. paper) |
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ISBN: | 9780735569171 (v. 1) |
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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 / 2 Norman S. Poser, James A. Fanto. |
版本说明: | 4th ed. |
索书号: | D971.222.8/P855E/2 |
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. |