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

Name: Wall Street Polices Itself How Securities Firms Manage the Legal Hazards of Competitive Pressures
Price: 198.77 USD
Availability: InStock
ISBN: 9780195111873

ISBN-10: 0195111877

ISBN-13: 9780195111873

Edition: 1998

Authors: David P. McCaffrey, David W. Hart

List price: $175.00

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Wall Street Polices 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. The system relies heavily on the firms' internal supervisory systems to prevent violations of securities laws, since they are in the best position…

Book details

List price: $175.00
Copyright year: 1998
Publisher: Oxford University Press, Incorporated
Publication date: 7/30/1998
Binding: Hardcover
Pages: 224
Size: 6.42" wide x 9.29" long x 0.91" tall
Weight: 1.122
Language: English




Self-Regulation in Broker-Dealer Firms



The Social Benefits and Risks of Entrepreneurs and Free Agents



Government Regulation of Broker-Dealer Firms



Controls at Self-Regulatory Organizations and Broker-Dealer Firms



Private Litigation and Arbitration



Economic and Technological Changes: Coping with New Regulatory Problems



Differences Among Broker-Dealer Firms



Foundations of Effective Self-Regulation


References


Index