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Securities Industry Study: Self-regulation in the securities industry

Securities Industry Study: Self-regulation in the securities industry PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 352

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Book Description

Securities Industry Study: Self-regulation in the securities industry

Securities Industry Study: Self-regulation in the securities industry PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 352

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Book Description

Securities Industry Study: Appendix to proceedings on self-regulation in the securities industry

Securities Industry Study: Appendix to proceedings on self-regulation in the securities industry PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 380

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Book Description

Securities Industry Study

Securities Industry Study PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Securities industry
Languages : en
Pages :

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Book Description

Securities Markets

Securities Markets PDF Author: Richard J. Hillman
Publisher: DIANE Publishing
ISBN: 9780756726584
Category :
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.

Securities Industry Study

Securities Industry Study PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 252

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Book Description

A Review of Self-regulatory Organizations in the Securities Markets

A Review of Self-regulatory Organizations in the Securities Markets PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 64

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Book Description

Study of the Securities Industry: Serial No. 92-37b

Study of the Securities Industry: Serial No. 92-37b PDF Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 528

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Book Description

Securities Industry Study

Securities Industry Study PDF Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 200

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Book Description

Special Market Study Release

Special Market Study Release PDF Author:
Publisher:
ISBN:
Category : Corporations
Languages : en
Pages : 174

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Book Description

Securities Industry Study

Securities Industry Study PDF Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 1558

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Book Description