Wildy logo
(020) 7242 5778
enquiries@wildy.com

Wildy’s Book News

Book News cover photo

Vol 21 No 10 Oct/Nov 2016

Book of the Month

Cover of Criminal Injuries Compensation Claims

Criminal Injuries Compensation Claims

Price: £99.95

Pupillage & Student Offers

Special Discounts for Pupils, Newly Called & Students

Read More ...


Secondhand & Out of Print

Browse Secondhand Online

Read More...


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

Image not available lge
David P. McCaffrey, David W. Hartboth at the Department of Public Administration, University of Albany, USA

ISBN13: 9780195111873
ISBN: 0195111877
Published: January 1998
Publisher: Oxford University Press
Country of Publication: USA
Format: Hardback
Price: £45.49



This is a Print On Demand Title.
The publisher will print a copy to fulfill your order. Books can take between 1 to 3 weeks. Looseleaf titles between 1 to 2 weeks.

This book explains how the self-regulatory system for US securities firms works with three tiers of supervision. Overseeing the whole system is the US 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.

Image not available lge
Subjects:
Other Jurisdictions , USA
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