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Broker-Dealer Law and Regulation, Fourth Edition

By Norman S. Poser, James A. Fanto
Book - Looseleaf

Book - Looseleaf

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Whether you represent brokerage firms and their employees or shareholders and investors, your clients depend on your informed counsel to help them thrive in today's securities markets. With Broker-Dealer Law and Regulation, Fourth Edition, the authoritative analysis and practical guidance you need to advise clients on their rights, duties, and liabilities under today's complex securities regulations is at your fingertips. Written by two of America's leading securities authorities, Norman S. Poser and James A. Fanto, Broker-Dealer Law and Regulation gives you reliable guidance on the latest federal and state law governing private litigation and arbitration between broker-dealers and their customers, as well as regulation by the SEC and the SROs.

Broker-Dealer Law and Regulation has been completely revised to cover all of the important regulatory changes and developments in case law affecting broker-dealers. The new Fourth Edition includes:

  • New chapters covering the structure of the securities markets, the regulation of broker-dealers in public offerings, and SEC and SRO enforcement
  • An increased emphasis on regulation and compliance
  • Expanded analysis of the technological advances in securities trading and information dissemination
  • Coverage of newly created securities
  • Analysis of the relationships between broker-dealer firms and other financial institutions
  • Expanded coverage of broker-dealer registration, recordkeeping, reporting, examination requirements, exemptions, and more
  • Consideration of the roles of securities firms in corporate abuses
  • Analysis of the proliferation of regulatory requirements, including Gramm Leach-Bliley, USA PATRIOT Act, Sarbanes-Oxley, as well as new SEC and SRO rules
  • Updated and expanded chapters on fiduciary duty, securities fraud, preemption of state law, damages, vicarious liability, and other related topics
  • New insight into important securities law decisions of the Supreme Court and other courts, as well as SEC and SRO rules bearing on these matters
  • Up-to-date guide to the legal rights, duties, and potential liabilities of broker-dealers and their associated persons

Last Updated 03/16/2007
Update Frequency Updated annually
Product Line Wolters Kluwer Legal & Regulatory U.S.
ISBN 9780735567856
SKU 10046057-7777
Table of Contents


  1. The Economics and Structure of the Securities Industry
  2. Broker-Dealers Within Financial Conglomerates
  3. The Securities Markets
  4. An Overview of the Regulatory System


  5. Broker Registration and Exemptions
  6. Broker and Associated Person Registration Process
  7. Broker Recordkeeping and Reporting
  8. Privacy and Anti-Money Laundering
  9. The Duty to Supervise
  10. Compensation in the Securities Industry
  11. Electronic Trading and the Securities Industry
  12. Financial Regulation of Broker-Dealers
  13. Broker-Dealers in Public Offerings
  14. SEC and SRO Enforcement and Disciplinary Proceedings
  15. Penny Stock Regulation


  16. Liability of Broker-Dealers Under Common Law
  17. Fraud Generally
  18. Churning
  19. The Suitability Doctrine
  20. Unauthorized Trading
  21. Market Manipulation
  22. Conflicts of Interest and the Securities Industry
  23. Damages in Actions Against Broker-Dealers
  24. Defenses in Actions Against Broker-Dealers
  25. Vicarious Liability


  26. Securities Arbitration: The Legal Context
  27. The SRO Forums
  28. Arbitrability of Securities Disputes
  29. Arbitration Awards
  30. Judicial Review of Arbitral Awards
  31. Mediation