The Broker-Dealer's Liability for Recommendations
Under the U.S. Securities Laws and the Suitability Rules of Self-Regulatory Organizations
(Sprache: Englisch)
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...
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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).
Bibliographische Angaben
- Autor: Heinz-Dieter Assmann
- 1982, Neuausg., 122 Seiten, Masse: 14,6 x 20,8 cm, Kartoniert (TB), Englisch
- Verlag: Peter Lang
- ISBN-10: 3820471537
- ISBN-13: 9783820471533
- Erscheinungsdatum: 31.12.1982
Sprache:
Englisch
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