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Copyright, 1914, by
All rights reserved, including that of
including the Scandinavian
THE present agitation for the compulsory incorpora
tion of the Stock Exchange and the enactment of numerous laws having as their object the regulation of the business of stock brokerage as it is now conducted on the Stock Exchange in the City of New York has caused many inquiries to be made of the author of this book for some general statement of the law which could be used as a guide by stockbrokers in the pursuit of their occupation.
In response to such inquiries, and to requests both from members of the Stock Exchange and from lawyers, this compilation has been made.
It is not the purpose of the book to provide a complete and exhaustive treatise for lawyers. The book is intended to be serviceable to stockbrokers, as well as lawyers. For the brokers, it should provide a ready reference book which they may read understandingly, and from which they may obtain a fairly safe guide to their conduct in their ordinary affairs, without necessitating a long course of reading or study or a conference with a lawyer to determine their duty in simple matters. For the members of the legal profession, it should provide a ready hand-book from which they can easily get the leading cases and principles applicable to