Wall Street polices itself: how securities firms manage the legal hazards of competitive pressures
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Elektronisch E-Book |
| Sprache: | English |
| Veröffentlicht: |
New York
Oxford University Press
1998
|
| Schlagworte: | |
| Online-Zugang: | Volltext |
| Beschreibung: | Includes bibliographical references (p. 189-208) and index Self-regulation in broker-dealer firms -- The social benefits and risks of entrepreneurs and free agents -- Government regulation of broker-dealer firms -- Controls at self-regulatory organizations and broker-dealer firms -- Private litigation and arbitration -- Economic and technological changes: coping with new regulatory problems -- Differences among broker-dealer firms -- Foundations of effective self-regulation 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 |
| Beschreibung: | 1 Online-Ressource (vi, 211 p.) |
| ISBN: | 142940440X 9781429404402 9780195111873 1280529334 9781280529337 |
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Datensatz im Suchindex
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| author | McCaffrey, David P. |
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| dewey-full | 332.6/2/0973 |
| dewey-hundreds | 300 - Social sciences |
| dewey-ones | 332 - Financial economics |
| dewey-raw | 332.6/2/0973 |
| dewey-search | 332.6/2/0973 |
| dewey-sort | 3332.6 12 3973 |
| dewey-tens | 330 - Economics |
| discipline | Wirtschaftswissenschaften |
| format | Electronic eBook |
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| spelling | McCaffrey, David P. Verfasser aut Wall Street polices itself how securities firms manage the legal hazards of competitive pressures by David P. McCaffrey, David W. Hart New York Oxford University Press 1998 1 Online-Ressource (vi, 211 p.) txt rdacontent c rdamedia cr rdacarrier Includes bibliographical references (p. 189-208) and index Self-regulation in broker-dealer firms -- The social benefits and risks of entrepreneurs and free agents -- Government regulation of broker-dealer firms -- Controls at self-regulatory organizations and broker-dealer firms -- Private litigation and arbitration -- Economic and technological changes: coping with new regulatory problems -- Differences among broker-dealer firms -- Foundations of effective self-regulation 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 Valeurs mobilières / Industrie / États-Unis / Autorégulation BUSINESS & ECONOMICS / Investments & Securities / General bisacsh Securities industry / Self-regulation fast Wirtschaft Securities industry Self-regulation United States Selbstregulation (DE-588)4236708-6 gnd rswk-swf Wertpapierhandel (DE-588)4189707-9 gnd rswk-swf USA USA (DE-588)4078704-7 gnd rswk-swf USA (DE-588)4078704-7 g Wertpapierhandel (DE-588)4189707-9 s Selbstregulation (DE-588)4236708-6 s 1\p DE-604 Hart, David W. Sonstige oth Erscheint auch als Druck-Ausgabe, Hardcover 0-19-511187-7 http://search.ebscohost.com/login.aspx?direct=true&scope=site&db=nlebk&db=nlabk&AN=169268 Aggregator Volltext 1\p cgwrk 20201028 DE-101 https://d-nb.info/provenance/plan#cgwrk |
| spellingShingle | McCaffrey, David P. Wall Street polices itself how securities firms manage the legal hazards of competitive pressures Valeurs mobilières / Industrie / États-Unis / Autorégulation BUSINESS & ECONOMICS / Investments & Securities / General bisacsh Securities industry / Self-regulation fast Wirtschaft Securities industry Self-regulation United States Selbstregulation (DE-588)4236708-6 gnd Wertpapierhandel (DE-588)4189707-9 gnd |
| subject_GND | (DE-588)4236708-6 (DE-588)4189707-9 (DE-588)4078704-7 |
| title | Wall Street polices itself how securities firms manage the legal hazards of competitive pressures |
| title_auth | Wall Street polices itself how securities firms manage the legal hazards of competitive pressures |
| title_exact_search | Wall Street polices itself how securities firms manage the legal hazards of competitive pressures |
| title_full | Wall Street polices itself how securities firms manage the legal hazards of competitive pressures by David P. McCaffrey, David W. Hart |
| title_fullStr | Wall Street polices itself how securities firms manage the legal hazards of competitive pressures by David P. McCaffrey, David W. Hart |
| title_full_unstemmed | Wall Street polices itself how securities firms manage the legal hazards of competitive pressures by David P. McCaffrey, David W. Hart |
| title_short | Wall Street polices itself |
| title_sort | wall street polices itself how securities firms manage the legal hazards of competitive pressures |
| title_sub | how securities firms manage the legal hazards of competitive pressures |
| topic | Valeurs mobilières / Industrie / États-Unis / Autorégulation BUSINESS & ECONOMICS / Investments & Securities / General bisacsh Securities industry / Self-regulation fast Wirtschaft Securities industry Self-regulation United States Selbstregulation (DE-588)4236708-6 gnd Wertpapierhandel (DE-588)4189707-9 gnd |
| topic_facet | Valeurs mobilières / Industrie / États-Unis / Autorégulation BUSINESS & ECONOMICS / Investments & Securities / General Securities industry / Self-regulation Wirtschaft Securities industry Self-regulation United States Selbstregulation Wertpapierhandel USA |
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