Securities Markets
Securities Markets

Author: Richard J. Hillman

Publisher: DIANE Publishing

Published: 2002-09

Total Pages: 52

ISBN-13: 9780756726584

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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.

Wall Street Polices Itself
Wall Street Polices Itself

Author: David P. McCaffrey

Publisher: Oxford University Press, USA

Published: 1998

Total Pages: 220

ISBN-13: 0195111877

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Explains how the self-regulatory system for U.S. securities firms works within three tiers of supervision. Drawing upon prior work on securities regulation in the areas of economics, law, and management, this book will greatly interest professionals in the securities industry.

Break From Tradition
Break From Tradition

Author: John I. Sanders

Publisher:

Published: 2018

Total Pages: 26

ISBN-13:

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Since 1792, the American securities market has been primarily regulated through self-regulatory bodies. Indeed, the tradition of self-regulation is so well-established that even the most ardent advocates of Wall Street reform have not questioned whether it is necessary or wise to rely upon it as the primary means of regulating the securities market. This paper traces the primacy of self-regulation to a series of historical accidents, questions whether relying on self-regulation is necessary or wise, and then argues that a shift of power from the current self-regulatory organization (FINRA) to a strong federal regulator (the SEC) would be a welcome change.

Broker-dealer Regulation in a Nutshell
Broker-dealer Regulation in a Nutshell

Author: Thomas Lee Hazen

Publisher: West Academic

Published: 2011

Total Pages: 271

ISBN-13: 9780314189578

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This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).

Regulation of Securities, Markets, and Transactions
Regulation of Securities, Markets, and Transactions

Author: Patrick S. Collins

Publisher: John Wiley & Sons

Published: 2011-01-14

Total Pages: 384

ISBN-13: 1118008561

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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.