Don't Throw In The Towel-Hope Again by Jana Alcorn
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).| SKU | Unavailable |
| ISBN 13 | 9780979838002 |
| ISBN 10 | 0979838002 |
| Title | Don't Throw In The Towel-Hope Again |
| Author | Nesbo Jo |
| Condition | Unavailable |
| Binding Type | Paperback |
| Publisher | Connect Publishing |
| Number of pages | 144 |
| Cover note | Book picture is for illustrative purposes only, actual binding, cover or edition may vary. |
| Note | Unavailable |