A Review Of Self Regulatory Organizations In The Securities Markets
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A Review Of Self Regulatory Organizations In The Securities Markets
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Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
language : en
Publisher:
Release Date : 2007
A Review Of Self Regulatory Organizations In The Securities Markets written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2007 with Business & Economics categories.
Securities Industry Study 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
language : en
Publisher:
Release Date : 1971
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 has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1971 with Brokers categories.
Securities Markets
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Author : Richard J. Hillman
language : en
Publisher: DIANE Publishing
Release Date : 2002-09
Securities Markets written by Richard J. Hillman and has been published by DIANE Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2002-09 with categories.
As competition among markets has increased, so have some market participants' concerns about the inherent conflicts of interest that securities self-regulatory organizations (SRO) face in their dual roles as market operators & regulators. This report describes how the SEC, the NASD, & the NYSE have been addressing concerns about: the impact of increased competition, including demutualization, on the ability of SROs to effectively regulate members with which they compete, & possible regulator inefficiencies associated with broker-dealer membership in multiple SROs. Describes alternative approaches that some securities market participants have discusses as a means of addressing concerns about the current self-regulatory structure.
Strengths And Weaknesses In Securities Market Regulation
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Author : Jennifer A. Elliott
language : en
Publisher: International Monetary Fund
Release Date : 2007-11
Strengths And Weaknesses In Securities Market Regulation written by Jennifer A. Elliott and has been published by International Monetary Fund this book supported file pdf, txt, epub, kindle and other format this book has been release on 2007-11 with Business & Economics categories.
This paper examines the strengths and weaknesses of securities regulatory systems worldwide with a view to a better understanding of common problems and areas of global concern. We found that a consistent theme emerges regarding the lack of ability of regulators to effectively enforce compliance with existing rules and regulation. In many countries, a combination of factors, including insufficient legal authority, a lack of resources, political will and skills, has undermined the regulator's capacity to effectively execute regulation. This weakness is more acute in areas of increased technical complexity such as standards for and supervision of the valuation of assets and risk management practices.
Self Regulatory Organizations
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Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
language : en
Publisher:
Release Date : 2006
Self Regulatory Organizations written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2006 with Business & Economics categories.
Promoting Information In The Marketplace For Financial Services
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Author : Paul Latimer
language : en
Publisher: Springer
Release Date : 2014-11-14
Promoting Information In The Marketplace For Financial Services written by Paul Latimer and has been published by Springer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-11-14 with Law categories.
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.
Securities And Exchange Commission
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Author : United States Government Accountability Office
language : en
Publisher: Createspace Independent Publishing Platform
Release Date : 2018-01-24
Securities And Exchange Commission written by United States Government Accountability Office and has been published by Createspace Independent Publishing Platform this book supported file pdf, txt, epub, kindle and other format this book has been release on 2018-01-24 with categories.
Securities and Exchange Commission: Opportunities Exist to Improve Oversight of Self-Regulatory Organizations
Stock Markets
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Author : United States. General Accounting Office
language : en
Publisher:
Release Date : 1992
Stock Markets written by United States. General Accounting Office and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1992 with Information services industry categories.
Securities Markets
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Author : DIANE Publishing Company
language : en
Publisher: DIANE Publishing
Release Date : 1995-07
Securities Markets written by DIANE Publishing Company and has been published by DIANE Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 1995-07 with Business & Economics categories.
Reviews the oversight and disciplinary actions of the Securities and Exchange Commission (SEC) and several of the securities industry's self regulatory organizations (SRO) against unscrupulous brokers - individuals licensed to sell securities who have committed a significant breach of sales practice rules or have a history of repeated sales practice violations.
Securities Industry Study
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Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
language : en
Publisher:
Release Date : 1973
Securities Industry Study written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1973 with Securities categories.