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- Title
REFLECTIONS ON THE SECURITIES BROKER AS A FIDUCIARY.
- Authors
Poser, Norman S.
- Abstract
The article discusses the author's views about the concept of a securities broker (stockbroker) as a fiduciary under American law as of 2015, and it mentions the the late U.S. law professor Alan Bromberg, investor protection in America, and the U.S. Congress' enactment of the nation's Dodd-Frank Wall Street Reform & Consumer Protection Act in 2010. The efforts to reduce abuses by securities broker-dealer firms are assessed, along with the U.S. Investment Advisers Act of 1940.
- Subjects
UNITED States; LEGAL status of stockbrokers; TRUSTS &; trustees; SECURITIES industry laws; DODD-Frank Wall Street Reform &; Consumer Protection Act; INVESTOR protection; BROMBERG, Alan R., 1928-2014; LEGAL status of investment advisors; BROKERS; LEGAL status of brokers
- Publication
SMU Law Review, 2015, Vol 68, Issue 3, p845
- ISSN
1066-1271
- Publication type
Article