Wall Street polices itself : how securities firms manage the legal hazards of competitive pressures / David P. McCaffrey, David W. Hart.
1998
HG4910 .M367 1998 (Map It)
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Items
Details
Author
Title
Wall Street polices itself : how securities firms manage the legal hazards of competitive pressures / David P. McCaffrey, David W. Hart.
Published
New York : Oxford University Press, 1998.
Call Number
HG4910 .M367 1998
ISBN
0195111877 (alk. paper)
Description
vi, 211 pages ; 24 cm
System Control No.
(OCoLC)36847779
Bibliography, etc. Note
Includes bibliographical references (pages 189-208) and index.
Record Appears in
Portion of Title
How securities firms manage the legal hazards of competitive pressures
Added Author
Table of Contents
1
Self-Regulation in Broker-Dealer Firms
3
2
The Social Benefits and Risks of Entrepreneurs and Free Agents
25
3
Government Regulation of Broker-Dealer Firms
42
4
Controls at Self-Regulatory Organizations and Broker-Dealer Firms
66
5
Private Litigation and Arbitration
93
6
Economic and Technological Changes - Coping with New Regulatory Problems
123
7
Differences among Broker-Dealer Firms
150
8
Foundations of Effective Self-Regulation
176
References
189
Index
209