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Wall Street Polices Itself

How Securities Firms Manage the Legal Hazards of Competitive Pressures

Inbunden, Engelska, 1998

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This book explains how the self regulatory system for U.S. securities firms works with three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises the self-regulatory organizations such as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these self-regulatory organizations oversee the broker-dealers who 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 subject to even more stringent penalties, if their supervisory systems fail. This book is an in-depth examination of how this regulatory system works, the types of regulatory problems with which broker-dealer firms must deal, why some firms have more problems than others, and what the experience with the system suggests about ways of improving self regulatory systems generally.

Produktinformation

Utgivningsdatum1998-10-01
Mått163 x 236 x 22 mm
Vikt499 g
FormatInbunden
SpråkEngelska
Antal sidor224
FörlagOUP USA
ISBN9780195111873

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David P. McCaffrey is Professor in the Department of Public Administration and Policy and in the Organizational Studies Program at the State University of New York at Albany. He is the also the author of The Politics of Nuclear Power: A History of the Shoreham Nuclear Power Plant (1991) and OSHA and the Politics of Health Regulation (1982). David W. Hart received his Ph.D. in Public Administration from the State University of New York at Albany. He has published articles on organizational behavior and theory, as well as on ethical decision-making in organizations, while also teaching in these areas and in corporate strategy.

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