Wall Street Polices Itself
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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 Role Of Collective Bargaining In The Global Economy
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Author : Susan Hayter
language : en
Publisher: Edward Elgar Publishing
Release Date : 2011-01-01
The Role Of Collective Bargaining In The Global Economy written by Susan Hayter and has been published by Edward Elgar Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-01-01 with Political Science categories.
The book examines the ways in which collective bargaining addresses a variety of workplace concerns in the context of today.s global economy. Globalization can contribute to growth and development, but as the recent financial crisis demonstrated, it also puts employment, earnings and labourstandards at risk. This book examines the role that collective bargaining plays in ensuring that workers are able to obtain a fair share of the benefits arising from participation in the global economy and in providing a measure of security against the risk to employment and wages. It focuses on a commonly neglected side of the story and demonstrates the positivecontribution that collective bargaining can make to both economic and social goals. The various contributions examine how this fundamental principle and right at work is realized in different countries and how its practice can be reinforced across borders. They highlight the numerouschallenges in this regard and the critically important role that governments play in rebalancing bargaining power in a global economy. The chapters are written in an accessible style and deal with practical subjects, including employment security, workplace change and productivity and working time.
Taming The Street
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Author : Diana B. Henriques
language : en
Publisher: Random House
Release Date : 2023-09-12
Taming The Street written by Diana B. Henriques and has been published by Random House this book supported file pdf, txt, epub, kindle and other format this book has been release on 2023-09-12 with Business & Economics categories.
The “extraordinary” (New York Times Book Review, Editors’ Choice) story of FDR’s fight for the soul of American capitalism—from award-winning journalist Diana B. Henriques, author of The Wizard of Lies: Bernie Madoff and the Death of Trust “I thought I was well versed in the New Deal, but it turns out I knew next to nothing. Diana Henriques’s chronicle is meticulous, illuminating, and riveting.”—Kurt Andersen, New York Times bestselling author of Evil Geniuses and Fantasyland Taming the Street describes how President Franklin D. Roosevelt battled to regulate Wall Street in the wake of the 1929 stock market crash and the ensuing Great Depression. With deep reporting and vivid storytelling, Diana B. Henriques takes readers back to a time when America’s financial landscape was a jungle ruled by the titans of vast wealth, largely unrestrained by government. Roosevelt ran for office in 1932 vowing to curb that ruthless capitalism and make the world of finance safer for ordinary savers and investors. His deeply personal campaign to tame the Street is one of the great untold dramas in American history. Success in this political struggle was far from certain for FDR and his New Deal allies, who included the political dynasty builder Joseph P. Kennedy and the future Supreme Court justice William O. Douglas. Wall Street’s old guard, led by New York Stock Exchange president Richard Whitney, fought every new rule to the “last legal ditch.” That clash—between two sharply different visions of financial power and federal responsibility—has shaped how “other people’s money” is managed in the United States to this day. As inequality once again reaches Jazz Age levels, Henriques brings to life a time when the system worked—an idealistic moment when ordinary Americans knew what had to be done and supported leaders who could do it. A vital history and a riveting true-life thriller, Taming the Street raises an urgent and troubling question: What does capitalism owe to the common good?
The Retirement Challenge Will You Sink Or Swim
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Author : Frank Armstrong (III.)
language : en
Publisher: FT Press
Release Date : 2009
The Retirement Challenge Will You Sink Or Swim written by Frank Armstrong (III.) and has been published by FT Press this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009 with Business & Economics categories.
"In 48 quick, practical lessons, Armstrong shows how to assess what you have and what you'll need to build a simple, reliable retirement plan. Better yet, the book's easy online calculators do all the math for you. Investing for retirement has never been so sensible and simple!"--Back cover.
Continued Oversight Of The Implementation Of The Wall Street Reform Act
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Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
language : en
Publisher:
Release Date : 2013
Continued Oversight Of The Implementation Of The Wall Street Reform Act 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 2013 with Consumer protection categories.
Pay Attention To The Thin Cow
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Author : Gene A. Hoots
language : en
Publisher: Dog Ear Publishing
Release Date : 2012-05
Pay Attention To The Thin Cow written by Gene A. Hoots and has been published by Dog Ear Publishing this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012-05 with Business enterprises categories.
Since 1979 when Tom Quinn and Gene Hoots began investing together, there have been a major bull market, a gigantic bubble, two major bear markets, and heart-stopping stock market plunges. Through all of this, their firm has adhered to its investment philosophy. Pay Attention to the Thin Cow is a collection of CornerCap's writings through 2005. Running the $4 billion benefit funds of R. J. Reynolds worldwide gave the CornerCap founders an opportunity to study the investment industry "close up and personal." The experience became an investment laboratory where they were exposed to the best of the players in the institutional investment world - the consultants, the banks, and the mutual fund giants, the private advisory firms both in the US and abroad. After a decade of observing what worked and what didn't, they set up CornerCap, a firm that was based on the best practices of the investors they studied. These CornerCap commentaries consistently describe and reinforce those practices to the reader. They explain, in simple understandable terms, straightforward advice - advice that they always point out is "easy to understand, but very hard to do." While it is a collaborative effort, much of the book reflects the personal experiences of Gene Hoots. He has had the unique opportunity to work in the corporate world as a major customer of investment services for twenty plus years and then help create a small, entrepreneurial firm that is a supplier of those same services. He notes that size really doesn't alter the rules; the same investing principles apply to everyone. Along the way, he also offers opinions on the major issues he believes we are facing in America today, and an occasional view of corporate life from the inside. This book will not give the reader tips on becoming an overnight millionaire, or on day trading as a path to fame and fortune, or even how to spot a "hot" stock. Rather, it is a collection of essays from CornerCap's first fifteen years that the CornerCap people hope will make the readers a bit more informed about their own investments, and less vulnerable to all of the missteps that can steadily erode their efforts to accumulate wealth - consistent mistakes that can add up to huge losses over a lifetime. Avoiding these common investing mistakes can greatly increase the prospect of meeting long term financial goals, no matter whether you are saving for a secure retirement or your grandchildren's education. In Pay Attention to the Thin Cow, Gene Hoots shares his experiences from five decades in the corporate and investment worlds, from both the large and small viewpoint, sometimes as a participant and sometimes as an observant bystander.
Asian Perspectives On Financial Sector Reforms And Regulation
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Author : Masahiro Kawai
language : en
Publisher: Rowman & Littlefield
Release Date : 2011-10-10
Asian Perspectives On Financial Sector Reforms And Regulation written by Masahiro Kawai and has been published by Rowman & Littlefield this book supported file pdf, txt, epub, kindle and other format this book has been release on 2011-10-10 with Business & Economics categories.
A Brookings Institution Press and Asian Development Bank Institute Although emerging economies as a group performed well during the global recession, weathering the recession better than advanced economies, there were sharp differences among them and across regions. The emerging economies of Asia had the most favorable outcomes, surviving the ravages of the global financial crisis with relatively modest declines in growth rates in most cases. China and India maintained strong growth during the crisis and played an important role in facilitating global economic recovery. In this informative volume, the second in a series on emerging markets, editors Masahiro Kawai and Eswar Prasad and the contributors analyze the major domestic macroeconomic and financial policy issues that could limit the growth potential of Asian emerging markets, such as rising inflation and surging capital inflows, with the accompanying risks of asset and credit market bubbles and of rapid currency appreciation. The book examines strategies to promote financial stability, including reforms for financial market development and macroprudential supervision and regulation.
Congressional Record
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Author : United States. Congress
language : en
Publisher:
Release Date : 2009
Congressional Record written by United States. Congress and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 2009 with Law categories.
The Congressional Record is the official record of the proceedings and debates of the United States Congress. It is published daily when Congress is in session. The Congressional Record began publication in 1873. Debates for sessions prior to 1873 are recorded in The Debates and Proceedings in the Congress of the United States (1789-1824), the Register of Debates in Congress (1824-1837), and the Congressional Globe (1833-1873)
In Bed With Wall Street
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Author : Larry Doyle
language : en
Publisher: Macmillan + ORM
Release Date : 2014-01-07
In Bed With Wall Street written by Larry Doyle and has been published by Macmillan + ORM this book supported file pdf, txt, epub, kindle and other format this book has been release on 2014-01-07 with Business & Economics categories.
In Bed with Wall Street offers a look under the sheets at the incestuous relationship between Wall Street, Washington, and the regulators who are supposed to protect the rest of us. The Wall Street meltdown in 2008 brought the country to its knees, and spawned nationwide protests against the lack of regulation and oversight facing Wall Street. But the average American still fails to fully grasp what was—and still is—happening: that the inmates continue to run the asylum. Doyle has been tracking this story for years through his blog Sense on Cents, and exposes here how Wall Street, our politicians, and the regulators themselves have conspired for personal and industry-wide gains while failing to protect investors, consumers, and the American taxpayer. He details the corrupt nature of Wall Street's financial police, who are little more than meter maids imposing fines that amount to nothing more than a slap on the wrist. He exposes the revolving door of Wall Street, wherein the regulators are all former or future employees of the very firms they're tasked with overseeing, and how they routinely serve the interests of the industry itself rather than protecting investors and markets. Recent bombshells—such as multi-billion dollar trading losses at JP Morgan Chase, the manipulation of interest rates via the LIBOR scandal, and money laundering with North American drug cartels and rogue nations such as Iran—are symptomatic of this corrosive culture and the lack of trust and confidence in the system. As the big banks fight tooth and nail to avoid real reforms that would protect the economy, this book is a timely, important, and shocking look inside the Washington-Wall Street conspiracy crippling America and the global economy.
Turkey S Water Policy As Part Of The Political Strategy
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Author : Hayk Gabrielyan
language : en
Publisher: Springer Nature
Release Date : 2024
Turkey S Water Policy As Part Of The Political Strategy written by Hayk Gabrielyan and has been published by Springer Nature this book supported file pdf, txt, epub, kindle and other format this book has been release on 2024 with categories.