ISBN 10: 3820471537 / ISBN 13: 9783820471533
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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).

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Heinz-Dieter Assmann
Published by Lang, Peter, GmbH, Internationaler Verlag der Wiss 1982-12-31, Frankfurt am Main (1982)
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Assmann, Heinz-Dieter
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Book Description Peter Lang GmbH, 1982. Condition: New. Series: European University Studies. Num Pages: 122 pages. BIC Classification: 1KBB; LN. Category: (P) Professional & Vocational. Dimension: 230. Weight in Grams: 160. . 1982. Paperback. . . . . . Seller Inventory # V9783820471533

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Book Description Peter Lang GmbH, 1982. Paperback. Condition: Brand New. 1st edition. 122 pages. 8.11x5.75x0.31 inches. In Stock. Seller Inventory # __3820471537

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