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Assmann Heinz-Dieter

The broker-dealer's liability for recommendations

under the U.S. securities laws and the suitability rules of self-regulatory organizations

AutorAssmann Heinz-Dieter
QuelleSonstige Datenquellen
ISBN978-3-8204-7153-3
Lieferbarkeitnicht lieferbar
KatalogisatBasiskatalogisat
VerlagLang, Peter GmbH
Erscheinungsdatum01.01.1982
Buch | Kartoniert
23,95 €
inkl. 7% MwSt.

Beschreibung (Langtext)

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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