Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive PressuresOxford University Press, 1998 - 211 páginas Wall Street Policies Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that conduct the daily business of buying and selling securities. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of corporate strategy and culture, of legal and social issues in management, and of regulation. |
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Contenido
1 SelfRegulation in BrokerDealer Firms | 3 |
2 The Social Benefits and Risks of Entrepreneurs and Free Agents | 25 |
3 Government Regulation of BrokerDealer Firms | 42 |
4 Controls at SelfRegulatory Organizations and BrokerDealer Firms | 66 |
5 Private Litigation and Arbitration | 93 |
6 Economic and Technological ChangesCoping with New Regulatory Problems | 123 |
7 Differences among BrokerDealer Firms | 150 |
8 Foundations of Effective SelfRegulation | 176 |
References | 189 |
209 | |
Otras ediciones - Ver todas
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of ... David P. McCaffrey,David W. Hart Vista previa limitada - 1998 |
Términos y frases comunes
agencies AMEX arbitration argue Arthur Levitt attorneys Bank Bear Stearns broker-dealer firms brokers CBOE clients Compliance and Legal compliance programs corporate court customers deal decisions derivatives disciplinary actions economic employees equity Exchange Commission favor Federal Reserve firm's fraud funds Goldman Sachs individuals industry's insider trading institutional investors internal controls interviews Investment Dealers involved issue Law Report Law Review lawsuits legal and compliance Lehman Brothers litigation major member firms ment Merrill Lynch NASD NASDAQ NYSE operations options organizations oversee Paine Webber panels parties penalties percent plaintiffs production professional profits program trading Prudential Securities punitive damages regu Regulation and Law responsibility risk rules safety Salomon Brothers sanctions SEC's Securities and Exchange securities firms securities laws Securities Regulation self-regulation self-regulatory settlement share Shearson SIA Compliance Smith Barney SROs staff supervisory tion transactions U.S. Securities violations York Stock Exchange