Professor Poser is a widely respected expert in international and domestic
securities regulation, with vast experience in this area. He was previously with the
American Stock Exchange, where he held the position of Executive Vice President for Legal
and Regulatory Affairs, and Senior Vice President of Policy Planning and Governmental
Relations. He was also in private practice, and an Assistant Director of the Division of
Trading and Markets of the Securities and Exchange Commission. He has served as a
consultant and expert witness in connection with securities litigation and arbitrations
for the New York State Attorney General, World Bank, Organization of American States,
United States Agency for International Development, Securities and Exchange Commission,
and the New York Stock Exchange and other securities exchanges. Professor Poser is the
author of the books Broker-Dealer Law and Regulation (4th ed. 2007) (co-authored with
Professor James A. Fanto), and International Securities Regulation: London's
"Big Bang" and the European Securities Markets (1990, Supp. 1991, 1992), and
numerous law review articles in these fields. He is a member of the American Law
Institute, and serves on the Advisory Board of Standard & Poor's The Review of
Securities & Commodities Regulation. He has been a member of the faculty since 1980.

Articles

OpenURL

Securities Fraud and the Common Law, 1 J. Securities & Futures L. 3 (2008)
 

Regulation NMS, Rev. Sec. & Commodities Reg. (2005)
 

Link

Liability of Broker Dealers for Unsuitable Recommendations to Institutional Investors, BYU L. Rev. (reprinted in 35 Sec. L. Rev. 556 (2003)) (2001)
 

Books

Broker-Dealer Law and Regulation (with James A. Fanto) (2007)