Broker-Dealer Law and Regulation

Broker-Dealer Law and Regulation

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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, Fourth Edition, 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 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... there has similarly been consolidation in broker-dealers acting as NYSE specialists and as market-makers on the Nasdaq Stock Market, ... NYSE specialist firms fell in number from 25 in 1999 to 7 in 2004; firms making markets on the Nasdaq similarly declined from ... in order routing.34 32 See Philip Augar, The Greed Merchants: How the Investment Banks Played the Free Market Game 38-46 (2005).

Title:Broker-Dealer Law and Regulation
Author:Norman S. Poser, James A. Fanto
Publisher:Aspen Publishers Online - 2007-03-16


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