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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, 4th ed, 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:-
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