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Capital Markets Deregulation and Liberalization Act of 1995

Author: United States. Congress. House. Committee on Commerce. Subcommittee on Telecommunications and Finance
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 344

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Capital Markets Deregulation and Liberalization Act of 1995

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The Securities Investment Promotion Act of 1996--S. 1815

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 244

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Securities Markets

Author: Richard J. Hillman
Publisher: DIANE Publishing
ISBN: 9780756726584
Category : Business & Economics
Languages : en
Pages : 52

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Book Description
As competition among markets has increased, so have some market participants' concerns about the inherent conflicts of interest that securities self-regulatory organizations (SRO) face in their dual roles as market operators & regulators. This report describes how the SEC, the NASD, & the NYSE have been addressing concerns about: the impact of increased competition, including demutualization, on the ability of SROs to effectively regulate members with which they compete, & possible regulator inefficiencies associated with broker-dealer membership in multiple SROs. Describes alternative approaches that some securities market participants have discusses as a means of addressing concerns about the current self-regulatory structure.

"The ULLICO Scandal and Its Implications for U.S. Workers"

Author: United States. Congress. House. Committee on Education and the Workforce
Publisher:
ISBN:
Category : Insurance companies
Languages : en
Pages : 280

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Debt Issuance and Investment Practices of State and Local Governments

Author: United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 964

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Annual Report of the Securities and Exchange Commission

Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 180

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Report on Investigation of ULLICO Inc

Author:
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 324

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Securities Amendments of 1996

Author: United States. Congress. House. Committee on Commerce
Publisher:
ISBN:
Category : Investments
Languages : en
Pages : 88

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Legislative Calendar

Author: United States. Congress. House. Committee on Commerce
Publisher:
ISBN:
Category :
Languages : en
Pages : 554

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Self-dealing and Breach of Duty at ULLICO, Inc

Author: United States. Congress. Senate. Committee on Governmental Affairs
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 1654

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Book Description