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

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9780195111873: Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures

This book explains how the self regulatory system for U.S. securities firms works with three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises the self-regulatory organizations such as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these self-regulatory organizations oversee the broker-dealers who 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 to track their own internal activities. Firms may be fined, or subject to even more stringent penalties, if their supervisory systems fail. This book is an in-depth examination of how this regulatory system works, the types of regulatory problems with which broker-dealer firms must deal, why some firms have more problems than others, and what the experience with the system suggests about ways of improving self regulatory systems generally.

Le informazioni nella sezione "Riassunto" possono far riferimento a edizioni diverse di questo titolo.

Contenuti:

  • 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

Le informazioni nella sezione "Su questo libro" possono far riferimento a edizioni diverse di questo titolo.

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McCaffrey, David P.
Editore: Oxford University Press (2016)
ISBN 10: 0195111877 ISBN 13: 9780195111873
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Descrizione libro Oxford University Press, 2016. Paperback. Condizione libro: New. PRINT ON DEMAND Book; New; Publication Year 2016; Not Signed; Fast Shipping from the UK. No. book. Codice libro della libreria ria9780195111873_lsuk

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McCaffrey, David P.
Editore: Oxford University Press, New York (1998)
ISBN 10: 0195111877 ISBN 13: 9780195111873
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Descrizione libro Oxford University Press, New York, 1998. Tapa blanda. Condizione libro: New. Codice libro della libreria 100366069

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McCaffrey, David P.
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Descrizione libro OUP USA, 1998. HRD. Condizione libro: New. New Book. Delivered from our US warehouse in 10 to 14 business days. THIS BOOK IS PRINTED ON DEMAND.Established seller since 2000. Codice libro della libreria IP-9780195111873

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McCaffrey, David P.
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Descrizione libro OUP USA, 1998. HRD. Condizione libro: New. New Book.Shipped from US within 10 to 14 business days.THIS BOOK IS PRINTED ON DEMAND. Established seller since 2000. Codice libro della libreria IP-9780195111873

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Descrizione libro Oxford University Press, USA, 1998. Hardcover. Condizione libro: New. 1st Printing. Codice libro della libreria DADAX0195111877

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McCaffrey, David P.
Editore: Oxford University Press (1998)
ISBN 10: 0195111877 ISBN 13: 9780195111873
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Descrizione libro Oxford University Press, 1998. Hardcover. Condizione libro: New. Codice libro della libreria INGM9780195111873

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McCaffrey, David P.
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Descrizione libro Oxford University Press Inc, United States, 1998. Hardback. Condizione libro: New. 242 x 164 mm. Language: English . Brand New Book ***** Print on Demand *****.This book explains how the self regulatory system for U.S. securities firms works with three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises the self-regulatory organizations such as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these self-regulatory organizations oversee the broker-dealers who 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 to track their own internal activities. Firms may be fined, or subject to even more stringent penalties, if their supervisory systems fail. This book is an in-depth examination of how this regulatory system works, the types of regulatory problems with which broker-dealer firms must deal, why some firms have more problems than others, and what the experience with the system suggests about ways of improving self regulatory systems generally. Codice libro della libreria APC9780195111873

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McCaffrey, David P.
Editore: Oxford University Press Inc, United States (1998)
ISBN 10: 0195111877 ISBN 13: 9780195111873
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Descrizione libro Oxford University Press Inc, United States, 1998. Hardback. Condizione libro: New. 242 x 164 mm. Language: English . Brand New Book ***** Print on Demand *****. This book explains how the self regulatory system for U.S. securities firms works with three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises the self-regulatory organizations such as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these self-regulatory organizations oversee the broker-dealers who 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 to track their own internal activities. Firms may be fined, or subject to even more stringent penalties, if their supervisory systems fail. This book is an in-depth examination of how this regulatory system works, the types of regulatory problems with which broker-dealer firms must deal, why some firms have more problems than others, and what the experience with the system suggests about ways of improving self regulatory systems generally. Codice libro della libreria APC9780195111873

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McCaffrey, David P.
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ISBN 10: 0195111877 ISBN 13: 9780195111873
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Descrizione libro Oxford University Press, USA. Hardcover. Condizione libro: New. Hardcover. 224 pages. Dimensions: 9.5in. x 6.5in. x 0.8in.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 to track their own internal activities. Firms may be fined, or subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail--often and repeatedly. Public investigations, press reports, books like Liars Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. 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. This item ships from multiple locations. Your book may arrive from Roseburg,OR, La Vergne,TN. Hardcover. Codice libro della libreria 9780195111873

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McCaffrey, David P.
Editore: Oxford University Press (1998)
ISBN 10: 0195111877 ISBN 13: 9780195111873
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Descrizione libro Oxford University Press, 1998. Hardcover. Condizione libro: New. book. Codice libro della libreria 0195111877

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