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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 :380 pages Book Rating :4.0/5 (7 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 380 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis In Bed with Wall Street by : Larry Doyle
Download or read book In Bed with Wall Street written by Larry Doyle and published by Macmillan. This book was released on 2014-01-07 with total page 240 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Wall Street meltdown in 2008 brought the country to its knees and spawned nationwide protests against the lack of regulation and oversight in the financial industry. But the average American still fails to fully grasp what was--and still is--happening: that the inmates run the asylum. Larry Doyle exposes how financial executives, politicians, and even the regulators charged with overseeing the banks have conspired for personal gains while deceiving largely unprotected investors, consumers, and American taxpayers. He details the shocking corruption of the SEC, FINRA, and other "financial police, " painting them as meter maids who assess nominal fines and look the other way at even the most egregious abuses. Most importantly, he unveils the revolving door of Wall Street, where countless regulators (and plenty of legislators) are former or future employees of the very firms they're tasked with overseeing. Recent bombshells--such as multi-billion dollar trading losses at JP Morgan Chase, the manipulation of interest rates via the LIBOR scandal, and money laundering with North American drug cartels and rogue nations such as Iran--are symptomatic of this corrosive culture, which has decimated consumer and investor confidence. As the big banks fight tooth and nail to avoid real reforms, this book is a timely, important, and shocking look at a hopelessly compromised system, still defenseless against the next great crash.--From publisher description.
Book Synopsis Markets in Vice, Markets in Virtue by : John Braithwaite
Download or read book Markets in Vice, Markets in Virtue written by John Braithwaite and published by Oxford University Press, USA. This book was released on 2005 with total page 262 pages. Available in PDF, EPUB and Kindle. Book excerpt: This sweeping, comparative study of taxation in the United States and Australia shows that even as governments in the Western world have become increasingly sophisticated tax collectors, a competitive and ruthless market in advice on tax avoidance has developed. The same competitive forces in the late twentieth century which have driven down prices and sparked efficiencies in the production of fast food or computer parts have helped stimulate the markets for "bads" like tax shelters and problem gambling. Braithwaite draws the surprising conclusion that effective regulation could actually flip markets in vice to markets of virtue. Essential reading for anyone involved in policy, governance, and regulation, Markets in Vice, Markets in Virtue provides a blueprint for restoring the equity of Western tax systems and a breakthrough theory of how regulators can support markets in virtue and curtail markets in vice.
Book Synopsis The Intuitive Investor by : Jason Apollo Voss
Download or read book The Intuitive Investor written by Jason Apollo Voss and published by SelectBooks, Inc.. This book was released on 2010-10 with total page 415 pages. Available in PDF, EPUB and Kindle. Book excerpt: "Successful Wall Street fund manager retired at age 35 guides investors to use intuitive and creative right-brained processes to complement traditional left-brain financial analysis. Author describes his principles based on spiritual insights and provides professional anecdotes to support his. theories"--Provided by publisher.
Author :United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance Publisher : ISBN 13 : Total Pages :1626 pages Book Rating :4.F/5 ( download)
Book Synopsis Study of the Securities Industry by : United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Download or read book Study of the Securities Industry written by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance and published by . This book was released on 1971 with total page 1626 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 The Work of the Stock Exchange by : James Edward Meeker
Download or read book The Work of the Stock Exchange written by James Edward Meeker and published by . This book was released on 1922 with total page 680 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 :252 pages Book Rating :4.3/5 (512 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 1973 with total page 252 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs Publisher : ISBN 13 : Total Pages :64 pages Book Rating :4.0/5 ( 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:
Author :United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs Publisher : ISBN 13 : Total Pages :286 pages Book Rating :4.F/5 ( download)
Book Synopsis Securities Industry Study, Report If the Subcommittee on Securities ...260 by : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Download or read book Securities Industry Study, Report If the Subcommittee on Securities ...260 written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 1973 with total page 286 pages. Available in PDF, EPUB and Kindle. Book excerpt:
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.
Book Synopsis Self- and Co-regulation in Cybercrime, Cybersecurity and National Security by : Tatiana Tropina
Download or read book Self- and Co-regulation in Cybercrime, Cybersecurity and National Security written by Tatiana Tropina and published by Springer. This book was released on 2015-05-06 with total page 109 pages. Available in PDF, EPUB and Kindle. Book excerpt: The ever increasing use of computers, networks and the Internet has led to the need for regulation in the fields of cybercrime, cybersecurity and national security. This SpringerBrief provides insights into the development of self- and co-regulatory approaches to cybercrime and cybersecurity in the multi-stakeholder environment. It highlights the differences concerning the ecosystem of stakeholders involved in each area and covers government supported initiatives to motivate industry to adopt self-regulation. Including a review of the drawbacks of existing forms of public-private collaboration, which can be attributed to a specific area (cybercrime, cybersecurity and national security), it provides some suggestions with regard to the way forward in self- and co-regulation in securing cyberspace.
Author :United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance Publisher : ISBN 13 : Total Pages :528 pages Book Rating :4.:/5 (31 download)
Book Synopsis Study of the Securities Industry: Serial No. 92-37b by : United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Download or read book Study of the Securities Industry: Serial No. 92-37b written by United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance and published by . This book was released on 1971 with total page 528 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :International Bar Association Staff Publisher :Springer Science & Business Media ISBN 13 :9401743649 Total Pages :238 pages Book Rating :4.4/5 (17 download)
Book Synopsis Comparative Survey of Securities Laws by : International Bar Association Staff
Download or read book Comparative Survey of Securities Laws written by International Bar Association Staff and published by Springer Science & Business Media. This book was released on 2013-06-29 with total page 238 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Section on Business Law of the International Bar Association is greatly indebted to the Editor, J. Michael Robinson and to John Gauntlett, the Chairman of the Committee on Issues and Trading in Securities, and his Vice Chairmen, Blaise Pasztory, Robert Briner and the members of the Committee who have contributed, for their joint efforts in preparing this ftrst book of their committee. It will make a valuable addition to the libraries of all practising lawyers because it has been written by practising lawyers, with the knowledge and experience of their own daily work and the understanding of what a practi tioner is looking for. I am confident that this book will prove of real assistance to practitioners world-wide, as have previous publications of other Committees of the Section on Business Law. I wish it great success. I hope that you may wish to join the Section on Business Law and thereby make contact and work with lawyers with similar interests in commercial law. WALTER OPPENHOF Chairman of the Section on Business Law XI Editor's Introduction I have great pleasure in presenting reports from fourteen countries. In the best tradition of many institutions of higher learning which trace their origins to some medieval ale house, this project has its genesis in a bar.
Book Synopsis Securities Industry Study, Report ..., Containing a Report of the Subcommittee on Securities Together with Indivual Views, (for the Period Ended February 4, 1972, Pursuant to S.Res. 109)110:1:United States by :
Download or read book Securities Industry Study, Report ..., Containing a Report of the Subcommittee on Securities Together with Indivual Views, (for the Period Ended February 4, 1972, Pursuant to S.Res. 109)110:1:United States written by and published by . This book was released on 1972 with total page 98 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Book Synopsis The Emerging Asian Bond Market by : Ismail Dalla
Download or read book The Emerging Asian Bond Market written by Ismail Dalla and published by World Bank Publications. This book was released on 1995-01-01 with total page 172 pages. Available in PDF, EPUB and Kindle. Book excerpt: Provides a comprehensive survey of the East Asian bond markets, identifies best practices for fostering their development, and presents a broad agenda for further reforms. East Asia's spectacular economic performance over the past several decades has been marked by macroeconomic stability, consistent growth, low inflation, the lowering of trade barriers, and an overall improvement in living standards. The region now has a well developed banking system and boasts four of the top 20 stock markets in the world. Its bond markets, however, are relatively small and at an early stage of development. This report provides a comprehensive survey of the East Asian bond markets, identifies best practices for fostering their development, and presents a broad agenda of reforms for their further development. The report, which is based on studies of bond markets in China, Hong Kong, Indonesia, the Republic of Korea, Malaysia, the Philippines, Singapore, and Thailand, finds great diversity among those markets. It was presented at the Emerging Asian Bond Market Conference, co-sponsored by the World Bank and the Hong Kong Monetary Authority and held in Hong Kong, June 26-27, 1995. It is believed that with the proper institutional prerequisites in place, the markets will grow very rapidly and become a leading source of financing for the region. "The [study] and this conference mark the World Bank's increasing support and participation in the development of bond markets in the region." --Joseph Yam, Chief Executive, Hong Kong Monetary Authority
