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The Broker-Dealer's Liability for Recommendations: Under the U.S. Securities Laws and the Suitability Rules of Self-Regulatory Organizations (European University Studies)

Assmann, Heinz-Dieter

Editore: Peter Lang International Academic Publishers, 1982
ISBN 10: 3820471537 / ISBN 13: 9783820471533
Usato / Soft cover / Quantità: 1
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Titolo: The Broker-Dealer's Liability for ...

Casa editrice: Peter Lang International Academic Publishers

Data di pubblicazione: 1982

Legatura: Soft cover

Condizione libro: Used


This Book is in Good Condition. Clean Copy With Light Amount of Wear. 100% Guaranteed. Codice inventario libreria ABE_book_usedgood_3820471537

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Riassunto: In today's capital markets the individual investor finds it increasingly difficult to gather, select and evaluate all the information that is required to make a reasonable investment decision. It is the broker-dealer who steps into the breach. The service he renders as a professional intermediary of informations culminates in investment recommendations. The threat of being held liable should ensure that a broker-dealer's recommendation is the result of a sound inquiry into the security and the customer's situation. This study examines the extent to which such a remedy is actually provided for under the U.S. securities laws and the so-called suitability rules of self-regulatory organizations (i.e., broker-dealer associations and stock exchanges).

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Indirizzo: Lewiston, NY, U.S.A.

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