Securities Broker-Dealers : Customer Suitability Requirements Imposed by Self-Regulatory Organizations.

Discusses regulations developed by stock exchanges and other self-regulatory organizations requiring securities brokers to buy and sell stocks based on their knowledge of a particular customer's investment goals and financial situation. Also discusses court interpretations of that requirement.

Bibliographic Details

Corporate Authors:	Library of Congress. Congressional Research Service, ProQuest (Firm)
Format:	eBook
Language:	English
Published:	[Place of publication not identified] : [publisher not identified], 1990.
Series:	U.S. Congressional Research.
Subjects:	Judge-made law. Consumer protection. Securities. Electronic books.
Online Access:	Connect to the full text of this electronic book