Broker-Dealer Law and Regulation, 5th Edition

Broker-Dealer Law and Regulation, 5th Edition
ISBN-10
1543804969
ISBN-13
9781543804966
Category
Stockbrokers
Pages
1920
Language
English
Publisher
Wolters Kluwer Law & Business
Authors
Gross, Poser, Fanto

Description

... 2007 ) ( citing Sparta Surgical Corp. v . NASD , 159 F.3d 1209 , 1212 ( 9th Cir . 1998 ) ) . 139 FINRA v . Fiero , 882 N.E. ... Fundamentals of Securities Regulation 8 ( 2d ed . 1988 ) . 142 Exchange Act § 28 ( a ) , 15 U.S.C. § 78bb ( a ) ...

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