Wall Street Polices Itself : How Securities Firms Manage the Legal Hazards of Competitive Pressures.

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Examines how firms in the securities industry practice self-regulation, looking at three elements of the system which determine success or failure: a combination of the industry's technological, economic, competitive and legal conditions, why effective self-regulation varies between firms, and...

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Detalles Bibliográficos
Clasificación:Libro Electrónico
Autor principal: McCaffrey, David P.
Otros Autores: Hart, David W.
Formato: Electrónico eBook
Idioma:Inglés
Publicado: New York : Oxford University Press, 1998.
Temas:
Securities industry > Self-regulation > United States.
Stock exchanges > Law and legislation > United States.
Securities industry > United States.
Valeurs mobilières > Industrie > États-Unis.
Securities industry > Self-regulation
Stock exchanges > Law and legislation
United States
Acceso en línea:Texto completo

MARC

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100 1 |a McCaffrey, David P. 
245 1 0 |a Wall Street Polices Itself :  |b How Securities Firms Manage the Legal Hazards of Competitive Pressures. 
260 |a New York :  |b Oxford University Press,  |c 1998. 
300 |a 1 online resource (220 pages) 
336 |a text  |b txt  |2 rdacontent 
337 |a computer  |b c  |2 rdamedia 
338 |a online resource  |b cr  |2 rdacarrier 
505 0 |a Contents; 1 Self-Regulation in Broker-Dealer Firms; 2 The Social Benefits and Risks of Entrepreneurs and Free Agents; 3 Government Regulation of Broker-Dealer Firms; 4 Controls at Self-Regulatory Organizations and Broker-Dealer Firms; 5 Private Litigation and Arbitration; 6 Economic and Technological Changes--Coping with New Regulatory Problems; 7 Differences among Broker-Dealer Firms; 8 Foundations of Effective Self-Regulation; References; Index; A; B; C; D; E; F; G; H; I; K; L; M; N; O; P; R; S; V. 
520 |a Examines how firms in the securities industry practice self-regulation, looking at three elements of the system which determine success or failure: a combination of the industry's technological, economic, competitive and legal conditions, why effective self-regulation varies between firms, and how the industry and government can facilitate it. 
588 0 |a Print version record. 
590 |a ProQuest Ebook Central  |b Ebook Central Academic Complete 
650 0 |a Securities industry  |x Self-regulation  |z United States. 
650 0 |a Stock exchanges  |x Law and legislation  |z United States. 
650 0 |a Securities industry  |z United States. 
650 6 |a Valeurs mobilières  |x Industrie  |z États-Unis. 
650 7 |a Securities industry  |x Self-regulation  |2 fast 
650 7 |a Stock exchanges  |x Law and legislation  |2 fast 
651 7 |a United States  |2 fast  |1 https://id.oclc.org/worldcat/entity/E39PBJtxgQXMWqmjMjjwXRHgrq 
700 1 |a Hart, David W. 
758 |i has work:  |a Wall Street polices itself (Text)  |1 https://id.oclc.org/worldcat/entity/E39PCFvHk6q4JvcDQkptYVGCQq  |4 https://id.oclc.org/worldcat/ontology/hasWork 
776 1 |z 9780195111873 
856 4 0 |u https://ebookcentral.uam.elogim.com/lib/uam-ebooks/detail.action?docID=273360  |z Texto completo 
938 |a ProQuest Ebook Central  |b EBLB  |n EBL273360 
994 |a 92  |b IZTAP 

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