Broker-Dealer Law and Regulation

by Norman S. Poser

Part A ¿ Private Rights of Action
• The U.S. Securities Industry
• Liability of Broker-Dealers under the Common Law
• Broker-Dealer Fraud under the Federal Securities Laws
• Damages in Actions against Broker-Dealers
• Defenses in actions against Broker-Dealers
• Vicarious Liability

Part B ¿ Securities Arbitration
• Securities Arbitration: The Legal Context
• The SRO Forums
• Arbitrability of Securities Disputes
• Arbitration Awards
• Judicial Review of Arbitral Awards
• Mediation

Part C ¿ Regulation and Compliance
• An Overview of the Regulatory System
• Registration, Recordkeeping, and Reporting Requirements
• The Duty to Supervise
• Compensation in the Securities Industry
• Electronic Trading and the Securities Industry
• Financial Regulation of Broker-Dealers
• Penny Stock Regulation
• Appendices

1646 pages, Loose-Leaf

First published June 1, 1995