Download or read book Securities Markets written by Richard J. Hillman and published by DIANE Publishing. This book was released on 2002-09 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.
Download or read book Securities Markets written by United States Government Accountability Office and published by Createspace Independent Publishing Platform. This book was released on 2018-02-03 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities Markets: Competition and Multiple Regulators Heighten Concerns about Self-Regulation
Download or read book Securities Markets Competition and Multiple Regulators Heighten Concerns about Self Regulation written by and published by . This book was released on 2002 with total page 54 pages. Available in PDF, EPUB and Kindle. Book excerpt: As competition among markets has increased, so have some market participants concerns about the inherent conflicts of interest that securities self-regulatory organizations (SRO) final face in their dual roles as market operators and regulators. One response to increased competition demutualization, or the conversion of SROs from memberowned organizations to shareholder-owned corporations has raised questions about potential effects on conflicts of interests, particularly in for-profit entities. Additionally, broker-dealers that are members of the two largest SROs, the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE), have continued to raise questions about the efficiency of SROs rules and examinations.
Download or read book Securities Markets written by United States. General Accounting Office and published by . This book was released on 2002 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book A Review of Self regulatory Organizations in the Securities Markets written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and published by . This book was released on 2007 with total page 64 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book SEC Docket written by United States. Securities and Exchange Commission and published by . This book was released on 2015 with total page 1196 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulating the Financial Sector in the Era of Globalization written by Z. Mikdashi and published by Springer. This book was released on 2003-08-19 with total page 276 pages. Available in PDF, EPUB and Kindle. Book excerpt: The world's financial landscape is transforming as economies become increasingly interdependent. In Regulating the Financial Sector in the Era of Globalization, Zuhayr Mikdashi examines the role of public authorities and of business executives in the prevention, moderation, containment and resolution of financial problems. The book features a foreword by William C. Hunter, Senior Vice President and Director of Research at the Federal Reserve Bank of Chicago.
Download or read book Self regulatory Organizations written by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises and published by . This book was released on 2006 with total page 136 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Oxford Handbook of Financial Regulation written by Niamh Moloney and published by . This book was released on 2015 with total page 817 pages. Available in PDF, EPUB and Kindle. Book excerpt: The financial system and its regulation have undergone exponential growth and dramatic reform over the last thirty years. This period has witnessed major developments in the nature and intensity of financial markets, as well as repeated cycles of regulatory reform and development, often linked to crisis conditions. The recent financial crisis has led to unparalleled interest in financial regulation from policymakers, economists, legal practitioners, and the academic community, and has prompted large-scale regulatory reform. The Oxford Handbook of Financial Regulation is the first comprehensive, authoritative, and state of the art account of the nature of financial regulation. Written by an international team of leading scholars in the field, it takes a contextual and comparative approach to examine scholarly, policy, and regulatory developments in the past three decades. The first three parts of the Handbook address the underpinning horizontal themes which arise in financial regulation: financial systems and regulation; the organization of financial system regulation, including regional examples from the EU and the US; and the delivery of outcomes and regulatory techniques. The final three Parts address the perennial objectives of financial regulation, widely regarded as the anchors of financial regulation internationally: financial stability, market efficiency, integrity, and transparency; and consumer protection. The Oxford Handbook of Financial Regulation is an invaluable resource for scholars and students of financial regulation, economists, policy-makers and regulators.
Download or read book Month in Review written by and published by . This book was released on 2002-05 with total page 60 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Securities Arbitration Practice and Forms written by W. Reece Bader and published by Juris Publishing, Inc.. This book was released on 2013-12-01 with total page 1162 pages. Available in PDF, EPUB and Kindle. Book excerpt: Securities Arbitration: Practice and Forms is the leading start-to-finish guide and reference to the entire arbitration process for all types of participants, including public investors and their counsel, representatives of brokerage firms and other financial institutions (including inside counsel, outside counsel, and compliance directors and their staffs), members of the staffs of sponsoring organizations, and arbitrators themselves. This publication is an efficient tool that can be readily used by all participants at every stage in the arbitration process to deal with the various issues, questions and problems that arise in such proceedings. It has been written as a comprehensive text with special emphasis on practice and procedure. The features include checklists, sample forms and pleadings and other practice aids, as well as, where possible, practical advice from the author, found throughout the text and on the accompanying CD-ROM. Securities Arbitration: Practice and Forms is a required reference and guide for all those involved, or potentially involved, in the Securities Arbitration process All of the accompanying sample pleadings and forms are included on a CD-ROM in PDF
Download or read book Consolidation of NASD and the Regulatory Functions of the NYSE written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment and published by . This book was released on 2009 with total page 132 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Self Regulation and Securities Markets written by Adam C. Pritchard and published by . This book was released on 2003 with total page 9 pages. Available in PDF, EPUB and Kindle. Book excerpt: Exchanges have a powerful incentive to regulate insider trading and market manipulation because of the effect that those practices have on liquidity. Markets known for insider trading and manipulation risk a downward spiral as investors depart seeking out alternative, safer investments. Exchanges, through the design of transparent trading mechanisms, vigilant monitoring of trading, and the imposition of demanding listing standards, can help create the trust that leads to deep and liquid securities markets. This essay compares the institutional incentives of securities exchanges and government to regulate abuses in the securities markets. I conclude that exchanges are more likely to regulate in a way that optimizes the trade-off between investor protection and the cost of regulation. Concerns about problems with conflict of interest in exchange regulation have been substantially reduced by the changes that international competition has brought to the securities markets. I propose a model that allocates regulatory authority between the exchanges and the government in a way that ameliorates the limitations of both institutions as regulators. In this regulatory model, exchanges would play the paramount regulatory role, with government playing the role of auditor of exchange regulation. The government's role would be limited in areas allocated to exchange regulation to ensuring that exchanges actually enforce their rules as written and aiding in the enforcement of those rules.
Download or read book Financial Regulation written by United States. Government Accountability Office and published by . This book was released on 2004 with total page 182 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Financial regulation industry changes prompt need to reconsider U S regulatory structure report to the Chairman Committee on Banking Housing and Urban Affairs U S Senate written by and published by DIANE Publishing. This book was released on 2004 with total page 173 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Conference on Life Insurance Company Products written by and published by . This book was released on 2006 with total page 650 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulation NMS and recent market developments hearings written by and published by DIANE Publishing. This book was released on with total page 118 pages. Available in PDF, EPUB and Kindle. Book excerpt:
