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Book Cover
E-book
Author McCaffrey, David P

Title Wall Street Polices Itself : How Securities Firms Manage the Legal Hazards of Competitive Pressures
Published New York : Oxford University Press, 1998

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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
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
Notes Print version record
Subject Securities industry -- Self-regulation -- United States
Stock exchanges -- Law and legislation -- United States
Securities industry -- United States.
Securities industry -- Self-regulation
Stock exchanges -- Law and legislation
United States
Form Electronic book
Author Hart, David W
ISBN 9780195354751
0195354753