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.
| Corporate Authors: | , |
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| Format: | eBook |
| Language: | English |
| Published: |
[Place of publication not identified] :
[publisher not identified],
1990.
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| Series: | U.S. Congressional Research.
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| Subjects: | |
| Online Access: | Connect to the full text of this electronic book |
| Summary: | 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. |
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| Item Description: | Record is based on bibliographic data in ProQuest U.S. Congressional Research Digital Collection (last viewed June 2010). Reuse except for individual research requires license from ProQuest, LLC. CRS Report. Electronic resource. |
| Physical Description: | 1 online resource. |