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

Author: David P McCaffrey; David W Hart
Publisher: New York : Oxford University Press, 1998.
Edition/Format:  eBook : Document : EnglishView all editions and formats
Summary:
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 how the industry and government can facilitate it.
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Genre/Form: Electronic books
Material Type: Document, Internet resource
Document Type: Internet Resource, Computer File
All Authors / Contributors: David P McCaffrey; David W Hart
ISBN: 9780195354751 0195354753
OCLC Number: 466432271
Description: 1 online resource (220 pages)
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.

Abstract:

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 how the industry and government can facilitate it.

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