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Self Regulation In The Securities Industry
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Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities Publisher : ISBN 13 : Total Pages :352 pages Book Rating :4.0/5 (7 download)
Book Synopsis Securities Industry Study: Self-regulation in the securities industry by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Download or read book Securities Industry Study: Self-regulation in the securities industry written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1971 with total page 352 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities Publisher : ISBN 13 : Total Pages :374 pages Book Rating :4.:/5 (31 download)
Book Synopsis Securities Industry Study: Appendix to proceedings on self-regulation in the securities industry by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Download or read book Securities Industry Study: Appendix to proceedings on self-regulation in the securities industry written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1971 with total page 374 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Wall Street Polices Itself by : David P. McCaffrey
Download or read book Wall Street Polices Itself written by David P. McCaffrey and published by Oxford University Press. This book was released on 1998-07-30 with total page 220 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Book Synopsis Securities Markets by : Richard J. Hillman
Download or read book Securities Markets written by Richard J. Hillman and published by DIANE Publishing. This book was released on 2002-09 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs Publisher : ISBN 13 : Total Pages :64 pages Book Rating :4.F/5 ( download)
Book Synopsis A Review of Self-regulatory Organizations in the Securities Markets by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Download or read book A Review of Self-regulatory Organizations in the Securities Markets written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2007 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Regulation versus self-regulation in the securities industry by :
Download or read book Regulation versus self-regulation in the securities industry written by and published by . This book was released on 1990 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities Publisher : ISBN 13 : Total Pages : pages Book Rating :4.:/5 (756 download)
Book Synopsis Securities Industry Study: Self-regulation in the securities industry by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Download or read book Securities Industry Study: Self-regulation in the securities industry written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1971 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States Congress Senate Committee on Banking, Housing, and Urban Affairs Subcommittee on Securities Publisher : ISBN 13 : Total Pages :329 pages Book Rating :4.:/5 (254 download)
Book Synopsis Self-regulation in the Securities Industry by : United States Congress Senate Committee on Banking, Housing, and Urban Affairs Subcommittee on Securities
Download or read book Self-regulation in the Securities Industry written by United States Congress Senate Committee on Banking, Housing, and Urban Affairs Subcommittee on Securities and published by . This book was released on 1972 with total page 329 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States Congress Senate Committee on Banking, Housing, and Urban Affairs Subcommittee on Securities Publisher : ISBN 13 : Total Pages :359 pages Book Rating :4.:/5 (254 download)
Book Synopsis Appendix to Proceedings on Self-regulation in the Securities Industry by : United States Congress Senate Committee on Banking, Housing, and Urban Affairs Subcommittee on Securities
Download or read book Appendix to Proceedings on Self-regulation in the Securities Industry written by United States Congress Senate Committee on Banking, Housing, and Urban Affairs Subcommittee on Securities and published by . This book was released on 1972 with total page 359 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Securities Markets by : DIANE Publishing Company
Download or read book Securities Markets written by DIANE Publishing Company and published by DIANE Publishing. This book was released on 1995-07 with total page 56 pages. Available in PDF, EPUB and Kindle. Book excerpt: Reviews the oversight and disciplinary actions of the Securities and Exchange Commission (SEC) and several of the securities industry's self regulatory organizations (SRO) against unscrupulous brokers - individuals licensed to sell securities who have committed a significant breach of sales practice rules or have a history of repeated sales practice violations.
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities Publisher : ISBN 13 : Total Pages : pages Book Rating :4.:/5 (756 download)
Book Synopsis Securities Industry Study: Appendix to proceedings on self-regulation in the securities industry by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Download or read book Securities Industry Study: Appendix to proceedings on self-regulation in the securities industry written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1971 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance Publisher : ISBN 13 : Total Pages :256 pages Book Rating :4.3/5 (91 download)
Book Synopsis The Securities Industry by : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Download or read book The Securities Industry written by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance and published by . This book was released on 1981 with total page 256 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities Publisher : ISBN 13 : Total Pages : pages Book Rating :4.:/5 (949 download)
Book Synopsis Securities Industry Study by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Download or read book Securities Industry Study written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and published by . This book was released on 1971 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Self-regulation for the Mortgage Industry by : M. Todd Henderson
Download or read book Self-regulation for the Mortgage Industry written by M. Todd Henderson and published by . This book was released on 2013 with total page 47 pages. Available in PDF, EPUB and Kindle. Book excerpt: This Article proposes an alternative to direct government regulation of mortgage brokers: self-regulation of the mortgage industry that mimics the arguably successful self-regulation of the securities industry that has occurred over the past two centuries. Although not without its problems, self-regulation of securities brokers operates more efficiently than government regulation. For example, self-regulation allows for industry expertise to be deployed at low cost and is built on trust and reciprocity, which reduce enforcement costs. In addition, self-regulation locates power at its smallest point and encourages efficient resolution of disputes by ensuring commensurable regulatory intervention. Most crucially for the mortgage industry, self-regulation is capable of policing behavior that does not rise to the level of fraud but is nevertheless socially undesirable. This Article explores the reasons why self-regulation can be effective, as well as some of its limitations in the context of securities brokers. It then looks at its potential application to mortgage brokers, comparing the self-regulatory approach with the governmental approach taken by the Dodd-Frank Act and the Consumer Financial Protection Bureau. However effective the federal approach to mortgage industry regulation is likely to be, there are aspects of such regulation that would be better administered by the industry itself, subject, of course, to oversight by the government to protect against the cartelization threat.
Book Synopsis Promoting Information in the Marketplace for Financial Services by : Paul Latimer
Download or read book Promoting Information in the Marketplace for Financial Services written by Paul Latimer and published by Springer. This book was released on 2014-11-14 with total page 251 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book provides a unique comparative and global analysis of the regulation of disclosure in financial (securities) markets. It is written by two authors who represent both the new world (Australia) and the old world (Germany). The authors present their research in the global business context, with legal and regulatory perspectives including some references from Africa, Asia, the Middle East and South America. After every “boom” and “bust”, legislators pass new disclosure legislation, often in a heated environment fuelled by politics and the media. Little regard is paid to existing regulation or the lessons learned from earlier regulation. The result is the continuing enactment of redundant and overlapping disclosure laws. Since financial markets are often described as markets for information, the failure to ensure disclosure is at the heart of financial services regulation. This book argues that the solution to the failure of disclosure is a brief, easily understood, principles-based, plain English safety-net amendment to statute law such as “you must keep the financial market fully informed”, a measure that would support effective mandatory continuous disclosure of information to financial markets. This book examines the reasons for disclosure regulation, and how the efficient operation of financial markets is dependent on disclosure. It examines the adequacy of common law and civil law concerning broker/client disclosure, and concludes that industry licensing in itself fails to keep the market informed. While recognizing the failures of securities commissions to achieve good disclosure in financial markets, it confirms the effectiveness of coregulation of disclosure by a commission with the support of the financial markets (such as the stock exchange). Coregulation builds on financial market self-regulation, and is best described in the words of one-time SEC Chairman William O. Douglas, who, in the 1930s, described it as a shotgun behind the door.
Download or read book Special Market Study Release written by and published by . This book was released on 1961-12 with total page 174 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis Strengths and Weaknesses in Securities Market Regulation by : Jennifer A. Elliott
Download or read book Strengths and Weaknesses in Securities Market Regulation written by Jennifer A. Elliott and published by International Monetary Fund. This book was released on 2007-11 with total page 56 pages. Available in PDF, EPUB and Kindle. Book excerpt: This paper examines the strengths and weaknesses of securities regulatory systems worldwide with a view to a better understanding of common problems and areas of global concern. We found that a consistent theme emerges regarding the lack of ability of regulators to effectively enforce compliance with existing rules and regulation. In many countries, a combination of factors, including insufficient legal authority, a lack of resources, political will and skills, has undermined the regulator's capacity to effectively execute regulation. This weakness is more acute in areas of increased technical complexity such as standards for and supervision of the valuation of assets and risk management practices.
