Regulation of Brokers, Dealers, and Securities Markets: Supplement
Regulation of Brokers, Dealers, and Securities Markets
Charles H. Meyer, The Law of Stockbrokers and Stock Exchanges, § 124 (1931); discusses the historical basis of corresponding relationships. 2. Wolfson, Phillips, and Russo, Regulation of Brokers, Dealers and Securities Markets (Warren, ...
As noted earlier, a futures commission merchant can be the ''other person'' defrauded under section 4b, as in Daniel J. Shelley.590 Thus, a false report from a floor broker to his or her FCM satisfies that requirement.
Forsyth , 525 U.S. 299 ( 1999 ) , 15.02 n.292 Hun v . Cary , 37 Am . Rep . 546 , 82 N.Y. 65 ( 1880 ) , 9.05 nn.383 , 392 Hunt v . Alliance North Am . Government Income Trust , Inc. See Alliance N. Am . Govt ...
111. See 1934 Act , §§5-7 , 11A , 15 , 15A ; See generally N. Wolfson , R. M. Phillips & T. A. Russo , Regulation of Brokers , Dealers and Securities Markets ( 1977 , Supp . 1979 ) ; S. M. Jaffe , Broker - Dealers and Securities Markets ...
See generally Wolfson, Phillips, & Russo, Regulation of Brokers, Dealers and Securities Markets, Ch. 19 (1977 &Supp. 1985). 58 Sec. Act Rel. No. 33-6806, [1988-1989 Transfer Binder] Fed. Sec. L. Rep.
See also Rollinson, Small Company, Big Law Firm, 63 Harv. Bus. Rev. 5 (Nov.-Dec. 1985); The Matchmakers, Robb Rep., July 1987, at 55. 42 Reifsnyder, Venture Capital Clubs, Success, Sept. 1986, at 60, 61. A venture capital club is ...
With respect to the need for a person to register as agent or as broker, see Wolfson, Phillips, Russo, “Regulation of Brokers, Dealers and Security Markets; Finders Fees in Security and Real Estate ... Harnett, 731 F.3d 6 (1st Cir.