Broker-dealer law and regulation / James A. Fanto, Gerald Baylin Professor of Law, Brooklyn Law School; Jill I. Gross, Associate Dean for Academic Affairs and Professor of Law, Elisabeth Haub School of Law, Pace University; Norman S. Poser, Professor of Law, Emeritus, Brooklyn Law School.
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| Main Authors: | , , |
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| Format: | Book |
| Language: | English |
| Published: |
New York :
Wolters Kluwer,
[2019]
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| Edition: | Fifth edition. |
| Subjects: |
Table of Contents:
- V. 1. Introduction to broker-dealers in the securities industry
- Broker-dealers within financial conglomerates
- Broker-dealers in the securities markets
- An overview of the regulatory system affecting broker-dealers
- SEC and SRO enforcement and disciplinary proceedings involving broker-dealers
- Broker compensation and conflicts of interest
- Broker-dealer registration and exemptions
- Broker-dealer and associated person registration process
- Broker recordkeeping, reporting, and examinations
- Financial regulation of broker-dealers
- Privacy and anti-money laundering regulation in broker-dealers
- Broker-dealer advertising regulation
- The broker-dealer's duty to supervise
- Broker-dealers in public and private offerings
- v. 2
- Broker-dealers duties to customers
- The suitability doctrine
- Liability of broker-dealers under state law
- Federal statutory claims against broker-dealers
- Vicarious liability
- Common defenses in actions against broker-dealers
- Arbitration in the securities industry
- The law governing arbitration agreements
- The FINRA arbitration process
- Judicial review of arbitral awards.