Report Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the NASD and the Nasdaq Market PDF Download
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Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 156
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 156
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Book Description
Author:
Publisher:
ISBN:
Category : Delegated legislation
Languages : en
Pages : 442
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Author: David P. McCaffrey
Publisher: Oxford University Press
ISBN: 0195354753
Category : Business & Economics
Languages : en
Pages : 220
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Book Description
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that 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 subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail--often and repeatedly. Public investigations, press reports, books like Liar's Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of corporate strategy and culture, of legal and social issues in management, and of regulation.
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages :
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Book Description
Author: Patrick S. Collins
Publisher: John Wiley & Sons
ISBN: 0470601965
Category : Business & Economics
Languages : en
Pages : 384
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Book Description
The ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010 Providing readers with expert coverage of domestic securities regulation, this book fills the need for coverage of securities regulations, defining, describing, and explaining everything professionals need to know about domestic securities regulation. Examines the current securities rules Provides an overview of the latest regulations for this industry Includes a description of the various government regulations of securities markets, and securities transactions Since the corporate scandals of 2002, this industry has seen intense scrutiny of how it is regulated. Regulation of Securities, Markets, and Transactions demystifies the new laws and regulations with straightforward, to-the-point coverage professionals need.
Author: Lucy Heckman
Publisher: Routledge
ISBN: 1135597383
Category : Business & Economics
Languages : en
Pages : 169
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Book Description
NASDAQ brings together, in one volume, a comprehensive annotated bibliography of books, theses and dissertations, US Government reports, journal articles, journals and serials, indexes and abstracts, databases, and websites from 1939 to May 2000.
Author: United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 144
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Book Description
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1296
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Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 132
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Book Description
Author:
Publisher: DIANE Publishing
ISBN: 1428938044
Category :
Languages : en
Pages : 125
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Book Description
