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Wall Street Polices Itself - How Securities Firms Manage the Legal Hazards of Competitive Pressures (Hardcover, New)
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Wall Street Polices Itself - How Securities Firms Manage the Legal Hazards of Competitive Pressures (Hardcover, New)
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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.
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