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Broker-Dealer Law and Regulation 5th ed Looseleaf

ISBN13: 9781543804966
Previous Edition ISBN: 9780735567856
Latest Release: October 28, 2021
Publisher: Aspen Publishers (Subs)
Country of Publication: USA
Format: Looseleaf, 2 Volumes
Price: Price on Application
Subscription Type: Pay-as-you-go

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, 5th ed, 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 Fifth 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
  • 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
  • Up-to-date guide to the legal rights, duties, and potential liabilities of broker-dealers and their associated persons

Banking and Finance, USA, Looseleaf Work
The Economics and Structure of the Securities Industry
Broker-Dealers Within Financial Conglomerates
The Securities Markets
An Overview of the Regulatory System
Broker Registration and Exemptions
Broker and Associated Person Registration Process
Broker Recordkeeping and Reporting
Broker-Dealer Advertising Regulation
Privacy and Anti-Money Laundering
The Duty to Supervise
Compensation in the Securities Industry
Electronic Trading and the Securities Industry
Financial Regulation of Broker-Dealers
Broker-Dealers in Public Offerings
SEC and SRO Enforcement and Disciplinary Proceedings
Penny Stock Regulation
Liability of Broker-Dealers Under Common Law
Fraud Generally
The Suitability Doctrine
Unauthorized Trading
Market Manipulation
Conflicts of Interest and the Securities Industry
Damages in Actions Against Broker-Dealers
Defenses in Actions Against Broker-Dealers
Vicarious Liability
Securities Arbitration: The Legal Context
The SRO Forums
Arbitrability of Securities Disputes
Defenses Against Arbitrability
Arbitration Awards
Judicial Review of Arbitral Awards

Recent Subscription Releases:

Part Price
Supplement 2022-1
October 28, 2021
Supplement 2021-2
March 02, 2021
Supplement 2021-1
October 30, 2020
Supplement 2020-2
February 21, 2020
Supplement 2020-1
November 18, 2019

Please contact our subscriptions team if any further information is required.