Wall Street Polices Itself : How Securities Firms Manage the Legal Hazards of Competitive Pressures.
David P. McCaffrey
Bok Engelsk 1998 · Electronic books.
| Omfang | 1 online resource (220 pages)
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| Opplysninger | Intro -- Contents -- 1 Self-Regulation in Broker-Dealer Firms -- 2 The Social Benefits and Risks of Entrepreneurs and Free Agents -- 3 Government Regulation of Broker-Dealer Firms -- 4 Controls at Self-Regulatory Organizations and Broker-Dealer Firms -- 5 Private Litigation and Arbitration -- 6 Economic and Technological Changes-Coping with New Regulatory Problems -- 7 Differences among Broker-Dealer Firms -- 8 Foundations of Effective Self-Regulation -- References -- Index -- A -- B -- C -- D -- E -- F -- G -- H -- I -- K -- L -- M -- N -- O -- P -- R -- S -- V.. - 1. Self-Regulation in Broker-Dealer Firms2. The Social Benefits and Risks of Entrepreneurs and Free Agents3. Government Regulation of Broker-Dealer Firms4. Controls at Self-Regulatory Organizations and Broker-Dealer Firms5. Private Litigation and Arbitration6. Economic and Technological Changes: Coping with New Regulatory Problems7. Differences Among Broker-Dealer Firms8. Foundations of Effective Self-RegulationReferencesIndex.
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| Emner | |
| Sjanger | |
| Dewey | |
| ISBN | 9780195354751
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