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1 – 10 of 19An in‐depth analysis of a disturbing decision which attempts to unusually expand previous concepts of broker‐dealer liability for “broker advice.” Will this decision reshape the…
Abstract
An in‐depth analysis of a disturbing decision which attempts to unusually expand previous concepts of broker‐dealer liability for “broker advice.” Will this decision reshape the way broker‐dealers communicate with customers? Is it such that ultimately it will hinder a customer's ability to get advice?
This provides an introduction to the new notice issued by the National Association of Security Dealers Regulation with regard to the applicability of the suitability rule to…
JAMES A. TRICARICA and STEPHEN I. WINER
The advent of the e‐commerce age has cried out for uniform rules to govern commercial transactions. The securities industry has obviously been on the front line of this change…
Abstract
The advent of the e‐commerce age has cried out for uniform rules to govern commercial transactions. The securities industry has obviously been on the front line of this change. The electronic signatures in the Global and National Commerce act is a step in the direction of commercial uniformity. This article examines the act and discusses its potential applications while pointing out certain questions that remain open.