Broker-dealer law and regulation
By: Norman S. Poser, James A. Fanto.
Contributors: Fanto, James A., 1951-
Edition: 4th ed.
Publisher: Aspen Publishers
Published: 2007
Place of publication: New York
Language: eng
ISBN-13: 9780735567856
Subjects: Stockbrokers -- Legal status, laws, etc. -- United States
Notes: Includes index.
Table of contents: title: The economics and structure of the securities industry; title: Broker-dealers within financial conglomerates; title: The securities markets; title: An overview of the regulatory system; title: Broker registration and exemptions; title: Broker and associated person registration process; title: Broker recordkeeping and reporting; title: Privacy and anti-money laundering; title: The duty to supervise; title: Compensation in the securities industry; title: Electronic trading and the securities industry; title: Financial regulation of broker-dealers; title: Broker-dealers in public offerings; title: SEC and SRO enforcement and disciplinary proceedings; title: Penny stock regulation; title: Liability of broker-dealers under common law; title: Fraud generally; title: Churning; title: The suitability doctrine; title: Unauthorized trading; title: Market manipulation; title: Conflicts of interst and the securities industry; title: Damages in actions against broker-dealers; title: Defenses in actions against broker-dealers; title: Vicarious liability; title: Securities arbitration: the legal context; title: The SRO forums; title: Arbitrability of securities disputes; title: Arbitration awards; title: Judicial review of arbitral awards; title: Mediation.