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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: v. 305 - Brossura
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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- EditorePeter Lang
- Data di pubblicazione1982
- ISBN 10 3820471537
- ISBN 13 9783820471533
- RilegaturaCopertina flessibile
- Numero edizione1
- Numero di pagine122
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Broker-Dealer's Liability for Recommendations: Under the U.S.Securities Laws and the Suitability Rules of Self-Regulatory Organizations (European University Studies)
Editore:
Peter Lang GmbH
(1982)
ISBN 10: 3820471537
ISBN 13: 9783820471533
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Descrizione libro Paperback. Condizione: Brand New. 1st edition. 122 pages. 8.11x5.75x0.31 inches. In Stock. Codice articolo __3820471537
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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 (Europäische Hochschulschriften Recht)
Editore:
Peter Lang GmbH, Internationaler Verlag der Wissenschaften
(1982)
ISBN 10: 3820471537
ISBN 13: 9783820471533
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Descrizione libro Condizione: new. Codice articolo c9c7495b3de78582a3de725355ce4aad
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Broker-Dealer's Liability for Recommendations (Paperback)
Editore:
Peter Lang GmbH, Frankfurt am Main
(1982)
ISBN 10: 3820471537
ISBN 13: 9783820471533
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Valutazione libreria
Descrizione libro Paperback. Condizione: new. Paperback. 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). Shipping may be from our UK warehouse or from our Australian or US warehouses, depending on stock availability. Codice articolo 9783820471533
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