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Vol 21 No 11 Nov/Dec 2016

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Broker-Dealer Law and Regulation 4th ed Looseleaf


ISBN13: 9780735567856
Latest Release: December 30, 2015
Publisher: Aspen Publishers
Country of Publication: USA
Format: Looseleaf, 2 Volumes
Price: Price on Application
Subscription Type: Pay-as-you-go



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:-

  • New chapters covering the structure of the securities markets, the regulation of broker-dealers in public offerings, and SEC and SRO enforcement
  • An increased emphasis on regulation and compliance
  • Expanded analysis of the technological advances in securities trading and information dissemination
  • Coverage of newly created securities
  • Analysis of the relationships between broker-dealer firms and other financial institutions
  • Expanded coverage of broker-dealer registration, recordkeeping, reporting, examination requirements, exemptions, and more
  • Consideration of the roles of securities firms in corporate abuses
  • Analysis of the proliferation of regulatory requirements, including Gramm Leach-Bliley, USA PATRIOT Act, Sarbanes-Oxley, as well as new SEC and SRO rules
  • Updated and expanded chapters on fiduciary duty, securities fraud, preemption of state law, damages, vicarious liability, and other related topics
  • New insight into important securities law decisions of the Supreme Court and other courts, as well as SEC and SRO rules bearing on these matters
  • Up-to-date guide to the legal rights, duties, and potential liabilities of broker-dealers and their associated persons

Subjects:
Other Jurisdictions , Banking and Finance, USA
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

Recent Subscription Releases:

Release
Date
Part Price
Supplement 2016
December 30, 2015
£195.00
Supplement 2015
March 11, 2015
£180.00
Supplement 2014
March 05, 2014
£146.00
Supplement 2013
March 18, 2013
£141.00
Supplement 2012
February 22, 2012
£155.00

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