Broker Dealer Law and Regulation 5th Edition

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Author: Poser, Fanto, Gross

Publisher: Wolters Kluwer Law & Business

ISBN: 9781543804966

Category: Stockbrokers

Page: 1812

View: 863

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, Fifth Edition, 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, James A. Fanto and Jill I. Gross, 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 Financial Industry Regulatory Authority (FINRA). Broker-Dealer Law and Regulation has been completely revised, reorganized and expanded to provide a comprehensive guide to the regulation and compliance obligations and the legal rights, duties, and potential liabilities of broker-dealers and their associated persons. The new Fifth Edition includes: Revised chapters covering the securities industry, the structure of the securities markets, and SEC and FINRA regulation and enforcement A continued emphasis on regulation affecting broker-dealers and their compliance obligations, with particular attention to their supervisory responsibilities Enhanced attention to a broker-dealers' compensation practices and mitigation of conflicts of interest Straightforward discussion of a broker-dealer's financial obligations, including the net capital rule and reserve requirements Analysis of the relationships between broker-dealers and other financial institutions Expanded coverage of broker-dealer registration and exemptions, recordkeeping and reporting requirements, anti-money laundering obligations and requirements to protect customer information, and more A new chapter on advertising regulation Expanded coverage of broker-dealers in capital raising, both public and private Updated and streamlined chapters on 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 relevant to both securities litigation and arbitration, as well as SEC and FINRA rules bearing on these matters Up-to-date guidance on the legal rights, duties, and potential liabilities of broker-dealers and their associated persons to their customers A completely reorganized Part addressing arbitration in the securities industry, the law governing arbitration agreements, and the FINRA arbitration and mediation process, with a separate chapter on judicial review of arbitral awards. Previous Edition: Broker-Dealer Law and Regulation, Fourth Edition, ISBN 9780735567856

Broker Dealer Regulation

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Author: David A. Lipton

Publisher:

ISBN: STANFORD:36105064178804

Category: Securities

Page:

View: 262

Broker Dealer Regulation in a Nutshell

This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets.

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Author: Thomas Hazen

Publisher: West Academic Publishing

ISBN: 1634603397

Category:

Page:

View: 713

Broker Dealer Regulation

The book covers SEC and self-regulation of the securities brokerage industry and the securities markets, fraud, manipulation, abusive sales practices, margin regulation, obligations to customers, conflict of interest, and investment ...

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Author: Thomas Lee Hazen

Publisher: West Academic Publishing

ISBN: 0314143858

Category: Law

Page: 648

View: 296

This law school casebook is devoted to broker-dealer regulation in the securities markets. The book covers SEC and self-regulation of the securities brokerage industry and the securities markets, fraud, manipulation, abusive sales practices, margin regulation, obligations to customers, conflict of interest, and investment advisers. The casebook focuses on regulatory issues as well as civil liabilities of broker-dealers. Designed for use in an advanced course, it includes excerpts from cases and administrative decisions and also from self-regulatory organizations such as the National Association of Securities Dealers (NASD), and also includes materials relating to market regulation generally.

The ABCs of Broker dealer Regulation

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Author:

Publisher:

ISBN: STANFORD:36105064220788

Category: Brokers

Page:

View: 940

Broker Dealer Law and Regulation

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Author: Norman S. Poser

Publisher: Aspen Publishers Online

ISBN: 9780735567856

Category:

Page: 2188

View: 540

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, Fourth Edition, 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

Broker Dealer Regulation in a Nutshell

This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets.

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Author: Thomas Hazen

Publisher: West Academic Publishing

ISBN: 1647083958

Category:

Page: 431

View: 756

This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).

The Law of Securities Regulation

The Fifth Edition of Professors Hazen's Hornbook has been revised to reflect the SEC's offering reform introduced in late 2005 and also recent Supreme Court developments. Professor Hazen's Hornbook now is totally up to date.

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Author: Thomas Lee Hazen

Publisher: West Academic

ISBN: STANFORD:36105064134195

Category: Law

Page: 927

View: 522

The Fifth Edition of Professors Hazen's Hornbook has been revised to reflect the SEC's offering reform introduced in late 2005 and also recent Supreme Court developments. Professor Hazen's Hornbook now is totally up to date. The Revised Fifth Edition is a comprehensive secondary source for any course in Securities Regulation. Coverage includes definition of ?security,? registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, civil liabilities. The book also focuses on broker-dealer regulation, market regulation, and the administrative role of the Securities and Exchange Commission. The book also covers the securities law issues such as the proxy rules and insider trading that are covered in basic courses on corporations and business associations. In addition, the Investment Company Act and Investment Advisers Act are also covered making the book suitable for advanced courses in securities regulation as well. The Hornbook contains footnotes to resources that will aid students in further research and also is organized in the same manner as the six volume Practitioner's edition in order to facilitate easy cross reference.