Howard Robert Roitman’s Guides

Howard Robert Roitman

Las Vegas Car / Auto Accident Lawyer.

Contributor Level 16
  1. Prices for securities and compensationfor services to be fair and reasonable

    Written by attorney Howard Roitman, over 1 year ago.

    SRO rules generally require broker-dealer prices for securities and compensationfor services to be fair and reasonable taking into consideration all relevantcircumstances.

    2 people found this Legal Guide helpful

  2. Broker-Dealers Overview of State Regulation Intended to Protect RetailCustomers

    Written by attorney Howard Roitman, over 1 year ago.

    The federal securities laws grant the Commission non-exclusive jurisdiction oversecurities broker-dealers.

    2 people found this Legal Guide helpful

  3. pre-dispute arbitration agreement

    Written by attorney Howard Roitman, over 1 year ago.

    If there is no valid pre-dispute arbitration agreement,391 customers may bringactions against broker-dealers in court in connection with disclosure, customer communications (including advertisements), or suitability violations under Exchange ActSection 10(b) and Rule 10b-5

    2 people found this Legal Guide helpful

  4. Differences in Investment Adviser and Broker-Dealer Regulation

    Written by attorney Howard Roitman, over 1 year ago.

    Both regulatory regimes require investment advisers and broker-dealers to adhere to high standards of conduct in their interactions with retail investors

    2 people found this Legal Guide helpful

  5. Legal standards of conduct for broker-dealers and investment advisers

    Written by attorney Howard Roitman, over 1 year ago.

    The legal standards of conduct for broker-dealers and investment advisershave differing and complex histories. Both sets of standards evolved in large part underthe general antifraud provisions of the respective federal securities laws, but with differing applications .

    2 people found this Legal Guide helpful

  6. Definition of the term “retail customer" in securities cases

    Written by attorney Howard Roitman, over 1 year ago.

    Dodd-Frank Act Section 913(g) amends the Advisers Act to add a definition ofthe term retail customer.582 Commenters raised some questions about applicability ofthe definition in certain specific scenarios. We recommend that the Commission engagein rulemaking or issue interpretive...

    2 people found this Legal Guide helpful

  7. The rights of customers against broker-dealers and clients against investment advisers

    Written by attorney Howard Roitman, over 1 year ago.

    There are certain key differences in the rights of customers against broker-dealers and clients against investment advisers.

    2 people found this Legal Guide helpful

  8. Day Trading, Training and the SEC

    Written by attorney Howard Roitman, over 1 year ago.

    The SEC Staff found that about half of the firms reviewed offered formal training programs to their day traders.78 Some of these programs were offered "in-house" and some were conducted by independent, unregistered entities.

    3 people found this Legal Guide helpful

  9. Day Trading Suitability and Appropriateness

    Written by attorney Howard Roitman, over 1 year ago.

    The suitability doctrine stems from the antifraud provisions of the federal securities laws and various SRO rules.

    2 people found this Legal Guide helpful

  10. Broker-dealers and their supervisory personnel must comply with the federal securities laws

    Written by attorney Howard Roitman, over 1 year ago.

    Broker-dealers and their supervisory personnel must comply with the federal securities laws to which they are subject and make reasonable efforts to ensure that persons subject to their supervision also comply with such laws.

    2 people found this Legal Guide helpful

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