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Broker-Dealer Law and Regulation, Fourth Edition Broker-Dealer Law and Regulation, Fourth Edition

Broker-Dealer Law and Regulation, Fourth Edition

By Norman S. Poser, James A. Fanto , Jill I. Gross
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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 12/07/2017
Product Line Wolters Kluwer Legal & Regulatory U.S.
ISBN 9780735567856
SKU 10046057-7777
Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010032091
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

7A.Broker-Dealer Advertising Regulation

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

28A. Defenses Against Arbitrability

29. Arbitration Awards

30. Judicial Review of Arbitral Awards

31. Mediation

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