Wall Street Polices Itself : How Securities Firms Manage the Legal Hazards of Competitive Pressures. (电子图书, 1998) [WorldCat.org]
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Wall Street Polices Itself : How Securities Firms Manage the Legal Hazards of Competitive Pressures.

著者: David P McCaffrey; David W Hart
出版商: New York : Oxford University Press, 1998.
版本/格式:   电子图书 : 文献 : 英语查看所有的版本和格式
提要:
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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类型/形式: Electronic books
材料类型: 文献, 互联网资源
文档类型 互联网资源, 计算机文档
所有的著者/提供者: David P McCaffrey; David W Hart
ISBN: 9780195354751 0195354753
OCLC号码: 466432271
描述: 1 online resource (220 pages)
内容: 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.

摘要:

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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