The Suitability Obligations of Brokers: Present Law and the Proposed Federal Securities Code

Authors

Arvid E. Roach II

Abstract

Suitability is achieving a place alongside disclosure and prevention of fraud as a major philosophical theme underlying the federal securities laws. The author analyzes the present sources of suitability obligations and critiques the suitability provisions of the recently completed proposed official draft of the American Law Institute Federal Securities Code.

Recommended Citation

Arvid E. Roach II, The Suitability Obligations of Brokers: Present Law and the Proposed Federal Securities Code, 29 Hastings L.J. 1069 (1978).
Available at: https://repository.uclawsf.edu/hastings_law_journal/vol29/iss5/12