New York Securities
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New York Securities
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Author :
language : en
Publisher:
Release Date : 1893
New York Securities written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1893 with Corporations categories.
Finance And Industry
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Author : Historical Publishing Company (New York, N.Y.)
language : en
Publisher:
Release Date : 1886
Finance And Industry written by Historical Publishing Company (New York, N.Y.) and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1886 with Bankers categories.
Regulation Of Securities Markets And Transactions
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Author : Patrick S. Collins
language : en
Publisher: John Wiley & Sons
Release Date : 2011-01-14
Regulation Of Securities Markets And Transactions written by Patrick S. Collins and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-01-14 with Business & Economics categories.
The ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010 Providing readers with expert coverage of domestic securities regulation, this book fills the need for coverage of securities regulations, defining, describing, and explaining everything professionals need to know about domestic securities regulation. Examines the current securities rules Provides an overview of the latest regulations for this industry Includes a description of the various government regulations of securities markets, and securities transactions Since the corporate scandals of 2002, this industry has seen intense scrutiny of how it is regulated. Regulation of Securities, Markets, and Transactions demystifies the new laws and regulations with straightforward, to-the-point coverage professionals need.
Wall Street Polices Itself
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Author : David P. McCaffrey
language : en
Publisher: Oxford University Press
Release Date : 1998-07-30
Wall Street Polices Itself written by David P. McCaffrey and has been published by Oxford University Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 1998-07-30 with Business & Economics categories.
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Overseeing the whole system is the U.S. Securities and Exchange Commission, which directly supervises such self-regulatory organizations as the New York Stock Exchange and the National Association of Securities Dealers. In turn, these organizations oversee the broker-dealer firms that 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 subjected to much more stringent penalties, if their supervisory systems fail. A widely shared perception is that this sort of securities self-regulation does fail--often and repeatedly. Public investigations, press reports, books like Liar's Poker and Den of Thieves, and such films as Wall Street have hammered broker-dealer firms relentlessly since the early 1980s. However, the surprising truth is that we do not really know what transpires in the regulatory operations of firms like Merrill Lynch or Salomon Smith Barney because the well-publicized failures tell only part of the story. David P. McCaffrey and David W. Hart provide readers with a fuller picture by offering an in-depth examination of how this regulatory system works, the types of regulatory problems that broker-dealer firms encounter, why some firms have more problems than others, and what experiences with the system can suggest about how to improve self-regulatory systems in general. Drawing extensively upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry and those in business regulation generally, and will also appeal to students of corporate strategy and culture, of legal and social issues in management, and of regulation.
The Big Board
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Author : Robert Sobel
language : en
Publisher: Beard Books
Release Date : 2000
The Big Board written by Robert Sobel and has been published by Beard Books this book supported file pdf, txt, epub, kindle and other format this book has been release on 2000 with Business & Economics categories.
New York Securities
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Author :
language : en
Publisher:
Release Date : 1893
New York Securities written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1893 with Corporations categories.
New York Securities Law
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Author : Catherine J. Douglass
language : en
Publisher: New York State Bar Assn
Release Date : 1990-04-01
New York Securities Law written by Catherine J. Douglass and has been published by New York State Bar Assn this book supported file pdf, txt, epub, kindle and other format this book has been release on 1990-04-01 with Law categories.
The New York Stock Exchange
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Author : New York Stock Exchange. Committee on Publicity
language : en
Publisher:
Release Date : 1929
The New York Stock Exchange written by New York Stock Exchange. Committee on Publicity and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1929 with categories.
New York Stock Exchange
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Author : New York Stock Exchange
language : en
Publisher:
Release Date : 1936
New York Stock Exchange written by New York Stock Exchange and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1936 with Securities industry categories.
The Securities Industry Glossary
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Author :
language : en
Publisher: Prentice Hall
Release Date : 1985
The Securities Industry Glossary written by and has been published by Prentice Hall this book supported file pdf, txt, epub, kindle and other format this book has been release on 1985 with Investments categories.