Broker-dealer Law and Regulation

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Aspen Law & Business, 1997 - Law - 1646 pages
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From duties under the common law to obligations imposed by the federal securities statutes, the new Second Edition of BROKER-DEALER LAW AND REGULATION covers the full range of the law that protects the relationship between broker-dealers and their customers. This recent update includes not only private rights of action, but also securities arbitration and mediation. Whether you represent a brokerage firm or securities dealer, an employee of the firm or a customer, you'll find insightful analysis of the law and practical, expert advice on such crucial issues as
'Churning' customers' accounts
Unsuitable recommendations
Unauthorized trading
Market manipulation
Vicarious liability
Defenses that may be asserted against broker-dealers
Compensatory and punitive damages
Liability of controlling persons
Rules of self-regulatory organizations
Securities arbitration
Mediation of securities disputes
Conflicts of interest
Appendices containing both the Federal Arbitration Act and the NASD Code of Arbitration Procedure
BROKER-DEALER LAW AND REGULATION is also the only available source that fully discusses breach of fiduciary duty and other possible state law claims, which are now much more important under the narrowed scope of SEC Rule 10b-5.

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Chapter1 The U S Securities Industry
Liability of BrokerDealers Under

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