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Book synopsis

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).

Book details

• Full title: Broker-Dealer's Liability for Recommendations
• Author: Heinz-Dieter Assmann
• Language: English
• Binding: Paperback
• Number of pages: 122
• EAN: 9783820471533
• ISBN: 9783820471533
• ID: 10019543
• Publisher: Peter Lang GmbH
• Weight: 166 g
• Dimensions: 149 × 209 × 8 mm

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