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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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