Broker-Dealer Law and Regulation [electronic resource] / Norman S. Poser, James A. Fanto, and Jill I. Gross.
Broker-Dealer Law and Regulation covers the full range of the law that governs the relationship between broker-dealers and their customers, from duties under the common law, to obligations imposed by the federal securities statutes. Provides insightful analysis on such crucial issues as private righ...
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| Online Access: |
Full Text (via Vital Law) |
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| Main Authors: | , , |
| Corporate Author: | |
| Other title: | Vital Law online. |
| Format: | Electronic Continuing Resource |
| Language: | English |
| Published: |
[New York] :
Wolters Kluwer,
[2017]-
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| Edition: | Fifth Edition. |
| Subjects: |
| Summary: | Broker-Dealer Law and Regulation covers the full range of the law that governs the relationship between broker-dealers and their customers, from duties under the common law, to obligations imposed by the federal securities statutes. Provides insightful analysis on such crucial issues as private rights of action, securities arbitration and mediation, and regulation. Vol. 1: Chs. 1-14; Vol. 2: Chs. 15-24. |
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| Physical Description: | 1 online resource : digital. |
| Publication Frequency: | Semiannual. |
| Bibliography: | Includes bibliographical references. |