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Broker-dealer law and regulation

Author: Norman S Poser; Jill I Gross; James A Fanto
Publisher: New York : Wolters Kluwer, [2019] ©2018
Edition/Format:   Print book : English : Fifth editionView all editions and formats
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Document Type: Book
All Authors / Contributors: Norman S Poser; Jill I Gross; James A Fanto
ISBN: 9781543804966 1543804969
OCLC Number: 1076370677
Description: 2 volumes cm
Contents: V. 1. Introduction to broker-dealers in the securities industry --
Broker-dealers within financial conglomerates --
Broker-dealers in the securities markets --
An overview of the regulatory system affecting broker-dealers --
SEC and SRO enforcement and disciplinary proceedings involving broker-dealers --
Broker compensation and conflicts of interest --
Broker-dealer registration and exemptions --
Broker-dealer and associated person registration process --
Broker recordkeeping, reporting, and examinations --
Financial regulation of broker-dealers --
Privacy and anti-money laundering regulation in broker-dealers --
Broker-dealer advertising regulation --
The broker-dealer's duty to supervise --
Broker-dealers in public and private offerings --
Broker-dealers duties to customers --
v. 2 --
The suitability doctrine --
Liability of broker-dealers under state law --
Federal statutory claims against broker-dealers --
Vicarious liability --
Common defenses in actions against broker-dealers --
Arbitration in the securities industry --
The law governing arbitration agreements --
The FINRA arbitration process --
Judicial review of arbitral awards.
Responsibility: James A. Fanto, Gerald Baylin Professor of Law, Brooklyn Law School; Jill I. Gross, Professor of Law, Elisabeth Haub School of Law, Pace University; Norman S. Poser, Professor of Law, Emeritus Law School.

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