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.


Securities Markets

Securities Markets

Author: United States Government Accountability Office

Publisher: Createspace Independent Publishing Platform

Published: 2018-02-03

Total Pages: 52

ISBN-13: 9781984983121

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Securities Markets: Competition and Multiple Regulators Heighten Concerns about Self-Regulation


Securities Markets. Competition and Multiple Regulators Heighten Concerns about Self-Regulation

Securities Markets. Competition and Multiple Regulators Heighten Concerns about Self-Regulation

Author:

Publisher:

Published: 2002

Total Pages: 54

ISBN-13:

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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) 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.


SEC Docket

SEC Docket

Author: United States. Securities and Exchange Commission

Publisher:

Published: 1989

Total Pages:

ISBN-13:

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Self-regulatory Organizations

Self-regulatory Organizations

Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises

Publisher:

Published: 2006

Total Pages: 136

ISBN-13:

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Regulating the Financial Sector in the Era of Globalization

Regulating the Financial Sector in the Era of Globalization

Author: Z. Mikdashi

Publisher: Springer

Published: 2003-08-19

Total Pages: 276

ISBN-13: 1403990115

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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.


The Oxford Handbook of Financial Regulation

The Oxford Handbook of Financial Regulation

Author: Niamh Moloney

Publisher:

Published: 2015

Total Pages: 817

ISBN-13: 019968720X

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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.