Norman Poser

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Articles

• "The Supreme Court's Janus Capital Case," 44 Rev. Sec. & Commodities Reg. 205 (2011)
• "Why the SEC Failed: Regulators Against Regulation," 3 Brook. J. Corp., Fin. & Commercial L. 289 (2009).
• "Why the SEC Failed: Regulators Against Regulation," 3 Brook. J. Corp., Fin. & Commercial L. 289 (2009)
• "Securities Fraud and the Common Law," 1 J. Securities & Futures L. 3 (2008)
• "Regulation NMS," 38 Rev. Sec. & Commodities Reg. 229 (2005)
• "Introduction [Tenth Abraham L. Pomerantz Program: Wall Street in Turmoil: Who is Protecting the Investor]," 70 Brook. L. Rev. 1 (2004)
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• "Liability of Broker Dealers for Unsuitable Recommendations to Institutional Investors," 2001 BYU L. Rev. 1493 (2001) ; reprinted in 35 Sec. L. Rev. 556 (2003)
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• "The Stock Exchanges of the United States and Europe: Automation, Globalization, and Consolidation," 22 U. Pa. J. Int'l Econ. L. 497 (2001)
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• "Judicial Review of Arbitration Rewards: Manifest Disregard of the Law," 64 Brook. L. Rev. 471 (1998)
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•  "Punitive Damage Awards After Mastrobuono: A Reply to Unger and Aly," 9 Sec. Arb. Commentator 1 (1997)
•  "Foreword [Symposium: Securities Arbitration: A Decade After McMahon]," 62 Brook. L. Rev. 1329 (1997)
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• "Making Securities Arbitration Work [Symposium: Securities Law After the Private Securities Litigation Reform Act -- Unfinished Business]," 50 SMU L. Rev. 277 (1996)
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• "Time Bars in Securities Arbitrations," 29 Rev. Sec. & Commodities Reg. 185 (1996)
•  "A Monument to a Regulatory System (reviewing L. Loss & J. Seligman, Securities Regulation (3d ed. 1993))," 92 Mich. L. Rev. 1791 (1994)
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•  "Some Defenses in Broker-Dealer Actions," 27 Rev. Sec. & Commodities Reg. 161 (1994)
• "When ADR Eclipses Litigation: The Brave New World of Securities Arbitration [Symposium: Reinventing Civil Litigation: Evaluating Proposals for Change]," 59 Brook. L. Rev. 1095 (1993) ; (reprinted in 27 Sec. L. Rev. 515 (1995))
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• "Automation of Securities Markets and the EC's Proposed Investment Services Directive," 55 Law & Contemp. Probs. 29 (1992)
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• "Deregulation of EC Securities Markets: Trading on the Bourse," J. Eur. Bus. 54 (Jan./Feb. 1991)
• "Insider Trading in the United Kingdom," 24 Rev. Sec. & Commodities Reg. 25 (1991)
• "The Measure of Damages in Churning Cases," 5 Insights: Corp. & Sec. L. Advisor 19 (1991)
• "Conflicts of Interest Within Securities Firms," 16 Brook. J. Int'l L. 111 (1990)
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• "Big Bang and the Financial Services Act Seen Through American Eyes," 14 Brook. J. Int'l L. 317 (1988)
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• "Big Bang and the Legal Profession: An American View," 132 Solic. J. 516 (1988)
• "Chinese Wall or Emperor's New Clothes? Regulating Conflicts of Interest of Securities Firms in the U.S. and the U.K," 9 Mich. J. Int'l L. 91 (1988) ; (also published in 9 Company Law. 119 (July), 159 (Sept.) and 203 (Nov.) (1988))
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•  "Chinese Walls in the U.S. and the U.K.," 21 Rev. Sec. & Commodities Reg. 207 (1988)
• "Warning: Insider Trading Could be Hazardous to Your Bank," Bankers Monthly 21 (1988)
• "Repairing the Big Board," N.Y. Times, Dec. 16, 1987, at A35
• "In the Wake of 'Big Bang': Can Wall St. Still Afford its Specialists?" N.Y. Times Nov. 9, 1986, § 3, at 2
• "Arbitrability of International Securities Disputes," 21 Brook. J. Intl L. 675 (1986)
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• "Civil Liability for Unsuitable Recommendations," 19 Rev. Sec. & Commodities Reg. 67 (1986)
• "Stock Market Manipulation and Corporate Control Transactions," 40 U. Miami L. Rev. 671 (1986) ; (reprinted in 20 Sec. L. Rev. 379 (1988))
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• "Brokers Who Trade Too Often," Wall St. J. May 20, 1985, at 26 (co-author: A. Pinto)
• "Options Accounts Fraud: Securities Churning in a New Context," 39 Bus. Law. 571 (1984)
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•  "Misuse of Confidential Information Concerning a Tender Offer as a Securities Fraud," 49 Brook. L. Rev. 1265 (1983)
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• "Book Review," 15 Rev. Sec. Reg. 876 (1982) ; (reviewing R. Karmel, Regulation by Prosecution)
• "Restructuring the Stock Markets: A Critical Look at the SEC's National Market System," 56 N.Y.U. L. Rev. 883 (1981) ; (reprinted in L. Loss, Fundamentals of Securities Regulation (1983), and in 1 Selected Articles on Federal Securities Laws 10 (F. Gill ed., 1991))
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• "Reply to Lowenfels, 'A Lack of Fair Procedures in the Administrative Process: Disciplinary Proceedings at the Stock Exchanges and the NASD'," 64 Cornell L. Rev. 402 (1979) ; (reprinted in 1979 Sec. L. Rev. 203 (1979))
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• "Trading Halts and Suspension," 1 Corp. L. Rev. 253 (1978)
• "A Banker's Primer on Indexing," 158 Bankers' Mag. no. 1 (1975)
• "Amex Options Regulation," 8 Rev. Sec. Reg. 959 (1975) (co-author: W.J. Brodsky)
• "Book Review (reviewing P. Blumberg, The Megacorporation in American Society: The Scope of Corporate Power)," 55 B.U. L. Rev. 874 (1975)
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• "Going Public in Latin America: A Seminar," 4 Int'l Law. 453 (1970)
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• "Conflicts of Duty," 2 Rev. Sec. Reg. 825 (1969) (co-author: R. Aronson)
• "Supervision of Broker-Dealers," 1 Rev. Sec. Reg. 966 (1968)
• "Book Review (reviewing H. Manne, Insider Trading & the Stock Market (1966))," 53 Va. L. Rev. 753 (1967)
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•  "Securities Regulation in Developing Countries: The Brazilian Experience," 52 Va. L. Rev. 1283 (1966)
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Books

• Broker-Dealer Law and Regulation (4th ed., 2007) (co-author: James A. Fanto)
• Escape: A Jewish Scandinavian Family in the Second World War (2006)
• Broker-Dealer Law and Regulation (2d ed., 1997)
• Broker-Dealer Law and Regulation: Private Rights of Action (1995)
•  International Securities Regulation: London's Big Bang and the European Securities Markets 1991 (& Supp. 1991-1992)
• Report of Special Study of Securities Markets of the Securities and Exchange Commission, H.R. Doc. No. 95, 88th Cong., 1st sess. (1963-1964). U.S. Securities & Exchange Comm (1964)
• Staff Report on Organization, Management, and Regulation of Conduct of Members of the American Stock Exchange: Special Study of Securities Markets. U.S. Securities & Exchange Comm. (1962)