Product Description

Whether you represent brokerage firms and their employees or shareholders and investors, your clients depend on your informed counsel to help them thrive in today's securities markets. With "Broker-Dealer Law and Regulation," the authoritative analysis and practical guidance you need to advise clients on their rights, duties, and liabilities under today's complex securities regulations is at your fingertips. Written by two of America's leading securities authorities, Norman S. Poser and James A. Fanto, "Broker-Dealer Law and Regulation" gives you reliable guidance on the latest federal and state law governing private litigation and arbitration between broker-dealers and their customers, as well as regulation by the SEC and the SROs.
"Broker-Dealer Law and Regulation" has been completely revised to cover all of the important regulatory changes and developments in case law affecting broker-dealers. The new Fourth Edition includes:
New chapters covering the structure of the securities markets, the regulation of broker-dealers in public offerings, and SEC and SRO enforcement; an increased emphasis on regulation and compliance; expanded analysis of the technological advances in securities trading and information dissemination; coverage of newly created securities; analysis of the relationships between broker-dealer firms and other financial institutions; expanded coverage of broker-dealer registration, recordkeeping, reporting, examination requirements, exemptions, and more. Additional highlights include: consideration of the roles of securities firms in corporate abuses; analysis of the proliferation of regulatory requirements, including Gramm Leach-Bliley, USA PATRIOT Act, Sarbanes-Oxley, as well as new SEC and SRO rules; updated and expanded chapters on fiduciary duty, securities fraud, preemption of state law, damages, vicarious liability, and other related topics; new insight into important securities law decisions of the Supreme Court and other courts, as well as SEC and SRO rules bearing on these matters; and an up-to-date guide to the legal rights, duties, and potential liabilities of broker dealers and their associated persons.

Product Details

• Amazon Sales Rank: #3819934 in Books
• Published on: 2007-03-19
• Original language: English
• Number of items: 2
• Binding: Ring-bound
• 2016 pages

From the Publisher
Supplemented annually

Customer Reviews

Too narrow a focus as compared to the title.
This book is great if you represent plaintiffs in securities arbitration cases, but it falls short of providing the practical information it promises for running a broker/dealer on a daily basis. As a former general counsel for a Southern California firm, and a practicing securities attorney with NASD experience, I do not find the book helpful in advising clients who are not involved in litigation.

good overview
This book gives to a foreign lawyer who represents customers of securities dealers a good overview of the american securities dealers law and the procedures his clients have to go through.