Broker-Dealer's Liability for Recommendations: Under the U.S.Securities Laws and the Suitability Rules of Self-Regulatory Organizations (European University Studies v. 305)
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Broker-Dealer's Liability for Recommendations: Under the U.S.Securities Laws and the Suitability Rules of Self-Regulatory Organizations (European University Studies v. 305)

Broker-Dealer's Liability for Recommendations: Under the U.S.Securities Laws and the Suitability Rules of Self-Regulatory Organizations (European University Studies v. 305)

By
Heinz-Dieter Assmann (Author)  

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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).
  • Contributor: Heinz-Dieter Assmann
  • Imprint: Peter Lang GmbH
  • ISBN13: 9783820471533
  • Number of Pages: 122
  • Packaged Weight: 160
  • Format: Paperback
  • Publisher: Peter Lang GmbH
  • Release Date: 1982-12-31
  • Series: European University Studies
  • Binding: Paperback / softback

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