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) |
|---|---|
| Main Authors: | , , |
| Corporate Author: | |
| Other title: | Vital Law online. |
| Format: | Electronic Continuing Resource |
| Language: | English |
| Published: |
[New York] :
Wolters Kluwer,
[2017]-
|
| Edition: | Fifth Edition. |
| Subjects: |
MARC
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| 245 | 1 | 0 | |a Broker-Dealer Law and Regulation |h [electronic resource] / |c Norman S. Poser, James A. Fanto, and Jill I. Gross. |
| 250 | |a Fifth Edition. | ||
| 264 | 1 | |a [New York] : |b Wolters Kluwer, |c [2017]- | |
| 300 | |a 1 online resource : |b digital. | ||
| 310 | |a Semiannual. | ||
| 336 | |a text |b txt |2 rdacontent. | ||
| 337 | |a computer |b c |2 rdamedia. | ||
| 338 | |a online resource |b cr |2 rdacarrier. | ||
| 504 | |a Includes bibliographical references. | ||
| 505 | 0 | 0 | |t Frontmatter -- |t Introduction -- |t Regulation And Compliance -- |t Private Rights Of Action -- |t Arbitration And Mediation -- |t Table -- |t Index. |
| 520 | |a 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. | ||
| 588 | |a Description based on online resource; title from contents screen of Securities - Federal and International practice areas (Cheetah, viewed March 15, 2021) | ||
| 650 | 0 | |a Stockbrokers |x Legal status, laws, etc. |z United States. | |
| 650 | 0 | |a Brokers |z United States. | |
| 700 | 1 | |a Gross, Jill I., |e author. | |
| 700 | 1 | |a Poser, Norman S., |d 1928- |e author. | |
| 710 | 2 | |a Wolters Kluwer (Firm) | |
| 730 | 0 | |a Vital Law online. | |
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