Securities Experts' Roundtable Library

Articles can be viewed using Adobe's Acrobat Reader. Click on this link if you do not have Acrobat Reader installed. After installing, you will be able to view the reports. This link opens a new browser window. Please close the window when you're done.

Suitability Rule and Online Communications

Bond Duration Defined

Day Trading Rules

de Kwiatkowski v. Bear Stearns

FRCP Rule 26 Discovery

Grahmm Leach Blilely Act 1999

IA Client Definition

Randall v. Loftsgaarden

Actec Paper 1

Actec Paper 2

Actec Paper 3

Actec Paper 4

Expert Witness Testimony in Securities Cases

When the Board Rules

SER Paper 2005

The Evolution of the Prospectus

Morgan Stanley Lessons Learned

Competing Trusts in the Boardroom

NASD Duval Article

Roles and Responsibilities of the BOM

French Failure to Hedge

The Suitability Obligations of Brokers and Investment Advisors

Damages in Securities Arbitration

Suitability in Securites Transactions

Enron FEI

Thornapple-Sahagen