Broker-Dealer's Liability for Recommendations : Under the U.S.Securities Laws and the Suitability Rules of Self-Regulatory Organizations
Book Details
Format
Paperback / Softback
Book Series
European University Studies
ISBN-10
3820471537
ISBN-13
9783820471533
Publisher
Peter Lang GmbH
Imprint
Peter Lang GmbH
Country of Manufacture
DE
Country of Publication
GB
Publication Date
Dec 31st, 1982
Print length
122 Pages
Weight
166 grams
Dimensions
14.90 x 20.90 x 0.80 cms
Product Classification:
Laws of Specific jurisdictions
Ksh 3,400.00
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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).
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).
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