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IOSCO IOSCO
SEAVEY, HANDBOOK OF THE LAW OF AGENCY, Hornbook series, at 4 West Publishing C0., 1964. Weinrib, The Fiduciary Obligation, 25 U. Toronto L. J. 1,4 1975. GordonSmith, The Critical Resource Theory of Fiduciary Duty, 55 Vand L. Rev. 1399, 1409 2002.
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trust fiduciary Conaglen, The Nature and Function of Fiduciary Loyalty, 121 L. Q. R. 452, 2005
NASD Louis Loss Langbein, The Basis of the Law of Trusts, lo5 Yale L. J. 625, 656 1995 96. Loss, The SEC and the Broker-Dealer, 1 Vand. L. Rev. 516 1948.
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Arm s-length Arm s-length Finn, Contract and Fiduciary Principle, 12 U. N. S. W. L. J. 76, 95 1989. Frankel, Fiduciary Duties as Default Rules, 74 Or. L. Rev. 1209, 1235 1995.
fiduciary agent fiduciary fairness and honesty trustee LOFCHIE, LOFCHIE S GUIDE TO BROKER-DEALER REGULATION CCH wall Street, 2005 at 458. POSER, BROKER-DEALER LAW AND REGULATION Acpen Publishers, 4th ed., 2010 at 811.
RESTATEMENT THIRD OF AGENCY, 1.01, cmt. d, 3.05. 2006 Frankel, supra note 20, at 1228 1229.
agent Cooter & Bradley J. Freedman, The Fiduciary Relationship: Its Economic Character and Legal Consequences, 66 N. Y. U. L. Rev. 1045, 1049 1991.
Dubbs v. Stribling & Assocs., 96 N. Y. 2d 337 N. Y. 2001. Schock v. Nash, 732 A. 2d 217 Del. 1999 ; Conservatorship of Anderson v. Lasen, 262 Neb. 51 Neb. 2001. Easterbrook & Fischel, Contruct and Fiduciary Duty, 36 J. L. & ECON. 425, 425 1993.
Tymshare v. Covell, 727 F. 2d l145, 1152 D. C. Cir. 1984.
ERISA ERISA ERISA ERISA Langebein, The Uniform Prudent Investor Act and the Future of Trust Investing, 181 Iowa. L. Rev. 641 1996. ERISA Employee Retirement lncome Security Act of 1974 ERISA trustee beneiciary ERISA
duty of loyalty duty of care duty of prudence 29 U. S. C. 1104 a 1 A law of property duty of diversification prudence ERISA prudent man rule duty of diversification
prudent man rule participants beneficiaries ERISA prudent investor rule avoidance prudent management
ERISA duty of diversification ERISA ERISA ERISA
ERISA
NBL
Hoover, Basic Principles Underlying Duty of Loyalty, 5 Clev. Marshall L.Rev. 7, 12 1956.
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Restatment Third of Agency, 8.06 1b Restatement Third of Agency, 8.06 John Reynolds, Inc. v. Snow, 11 A. D. 2d 653, 201 N. Y. S. 2d 704 N. Y. App. Div. 1960.
Poser
monitor Nichols, The Broker s Duty to His Customer under Evolving Federal Fiduciary and Suitability Standards, 26 Buf. L. Rev. 435 1977.
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BROMBERG & LOWENFELS, SECURITIES FRAUD & COMMODITIES FRAUD McGraw-Hill Inc., 2d ed., 1994 Vol 3, 8 1 1995.
NBL
ERISA Frankel, supra note 2, at 795.
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ERISA
Finn, supra note 19, at 83. Shepherd, Towards a Unified Concept of Fiduciary Relationships, 97 L. Q. Rev. 51, 52 1981.