Open Daily: 10am - 10pm | Alley door pickup 10am - 7pm 3038 Hennepin Ave Minneapolis, MN
612-822-4611

  • Open Daily: 10am - 10pm
    Alley-side Pickup: 10am - 7pm

    3038 Hennepin Ave Minneapolis, MN
    612-822-4611

Open Daily: 10am - 10pm | Alley-side Pickup: 10am - 7pm
3038 Hennepin Ave Minneapolis, MN
612-822-4611
The Broker-Dealer's Liability for Recommendations: Under U. S. Securities Laws and the Suitability Rules of Self-Regulatory Organizations

The Broker-Dealer's Liability for Recommendations: Under U. S. Securities Laws and the Suitability Rules of Self-Regulatory Organizations

Assmann, Heinz-Dieter

Paperback

Series: Europaeische Hochschulschriften Recht, Book 305

AccountingGeneral Law

Currently unavailable to order

ISBN10: 3820471537
ISBN13: 9783820471533
Publisher: Peter Lang
Published: Dec 31 1982
Pages: 122
Language: English
In today's capital markets the individual investor finds it increasingly difficult to gather, select and evaluate all the information that is required to make a reasonable investment decision. It is the broker-dealer who steps into the breach. The service he renders as a professional intermediary of informations culminates in investment recommendations. The threat of being held liable should ensure that a broker-dealer's recommendation is the result of a sound inquiry into the security and the customer's situation. This study examines the extent to which such a remedy is actually provided for under the U.S. securities laws and the so-called suitability rules of self-regulatory organizations (i.e., broker-dealer associations and stock exchanges).

Also in

General Law

View All