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Broker-Dealer Law and Regulation

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2.5 out of 5 stars (2 customer reviews)

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4.0 out of 5 stars good overview
This book gives to a foreign lawyer who represents customers of securities dealers a good overview of the american securities dealers law and the procedures his clients have to go through.

Published on August 3, 2000 by David Brunner

10 of 10 people found the following review helpful:

1.0 out of 5 stars Too narrow a focus as compared to the title.
This book is great if you represent plaintiffs in securities arbitration cases, but it falls short of providing the practical information it promises for running a broker/dealer on a daily basis. As a former general counsel for a Southern California firm, and a practicing securities attorney with NASD experience, I do not find the book helpful in advising clients...

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Published on August 27, 1998

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10 of 10 people found the following review helpful:

1.0 out of 5 stars Too narrow a focus as compared to the title., August 27, 1998

By A Customer

This review is from: Broker-Dealer Law and Regulation (Hardcover)

This book is great if you represent plaintiffs in securities arbitration cases, but it falls short of providing the practical information it promises for running a broker/dealer on a daily basis. As a former general counsel for a Southern California firm, and a practicing securities attorney with NASD experience, I do not find the book helpful in advising clients who are not involved in litigation.

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4.0 out of 5 stars good overview, August 3, 2000