Wall Street Polices Itself : How Securities Firms Manage the Legal Hazards of Competitive Pressures.
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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| Format: | Electronic eBook |
| Language: | English |
| Published: |
New York :
Oxford University Press,
1998.
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| Online Access: |
Full text (MFA users only) |
| ISBN: | 9780195354751 0195354753 |
| Local Note: | ProQuest Ebook Central |
Table of Contents:
- 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.