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The Broker-Dealer's Liability for Recommendations

The Broker-Dealer's Liability for Recommendations Under the U.S. Securities Laws and the Suitability Rules of Self-Regulatory Organizations - Europaische Hochschulschriften : Reihe 2: Rechtswissenschaft

Paperback (31 Dec 1982)

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Publisher's Synopsis

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).

Book information

ISBN: 9783820471533
Publisher: Lang, Peter, GmbH, Internationaler Verlag der Wiss
Imprint: Peter Lang Edition
Pub date:
Language: English
Number of pages: 122
Weight: 166g
Height: 149mm
Width: 209mm
Spine width: 8mm