U.S. Securities Law for International Financial Transactions and Capital Markets

U.S. Securities Law for International Financial Transactions and Capital Markets

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Guy P. Lander. ;7 Ce) recommending or selling securities to a customer nquiring as to the suitability of the securities for that , which may ... See also NASD Manual , NASD Rule 2310 and IM-2310-2(bXD. ee, e.g., Costello v. ... 2006). !Broker- Dealer Registration Guide, at V.A.I. (Dec. 2005) http://www.sec.gov/divi marketreg /bdguide.htm: 8 Loss aamp; Seligman, Securities Regulation, at 3812, 3d ed., rev. vol.


Title:U.S. Securities Law for International Financial Transactions and Capital Markets
Author: Guy P. Lander
Publisher: - 2009
ISBN-13:

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