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
Tabla de Contenidos:
  • 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.

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