This comment analyzes four areas of central significance to adequate protection for the investor: (1) qualifications of those in the securities industry who deal with the public; (2) dissemination of corporate publicity; (3) dissemination of investment advice; and (4) selling practices in the securities industry. The findings and recommendations of the Special Study are given special attention insofar as they bear upon the problems covered. In certain areas, however, recent developments in court and Commission decisions have brought about changes equally as significant as the findings and recommendations of the Special Study. Thus each section covers the background and recent developments in the designated area, as well as the Special Study itself.
Robert N. Dorosin, Ira J. Jaffe, Rolfe A. Worden, James C. Lockwood & Willoughby C. Johnson,
Current Problems in Securities Regulation,
Mich. L. Rev.
Available at: https://repository.law.umich.edu/mlr/vol62/iss4/7