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
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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Libreria AbeBooks dal: 7 maggio 2014
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