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:
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New chapters covering the structure of the securities markets, the regulation
of broker-dealers in public offerings, and SEC and SRO enforcement
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An increased emphasis on regulation and compliance
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Expanded analysis of the technological advances in securities trading and
information dissemination
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Coverage of newly created securities
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Analysis of the relationships between broker-dealer firms and other
financial institutions
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Expanded coverage of broker-dealer registration, recordkeeping,
reporting, examination requirements, exemptions, and more
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Consideration of the roles of securities firms in corporate abuses
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Analysis of the proliferation of regulatory requirements, including Gramm
Leach-Bliley, USA PATRIOT Act, Sarbanes-Oxley, as well as new SEC and SRO rules
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Updated and expanded chapters on fiduciary duty, securities fraud, preemption
of state law, damages, vicarious liability, and other related topics
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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
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Up-to-date guide to the legal rights, duties, and potential liabilities of
broker-dealers and their associated persons
