Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures

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Clet1993, 13.08.2017 07:55

Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures


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Ebook Details:

Author: David P. McCaffrey, David W. Hart
ISBN: 9780195111873
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 Liars 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.

Title: Wall Street Polices Itself: How Securities ...

Publisher: Oxford University Press, USA

Publication Date: 1998

Book Condition:Good



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Befoom, 17.08.2017 12:06

GREAT CONTRIBUTION! High value and very usable. +5 reps
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Exhigits02, 26.08.2017 20:25

Wow awesome share DDR repped you i love your shares keep em coming
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Withentrien1988, 31.08.2017 18:16

Thanks so much for this great share! +5 Rep added.
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Comiscrikend1995, 13.08.2017 07:55

Maxie in Venezuela or The Clue to the Diamond Mine

Maxie in Venezuela or The Clue to the Diamond Mine




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Author: Gardner, E.B.
ISBN: No_ISBN
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Title: Maxie in Venezuela or The Clue to the ...

Publisher: 1932 Cupples & Leon Company

Publication Date: 1932

Binding: A very good hard cover.

Dust Jacket Condition: Dust Jacket Included

Edition: Later Edition..



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Hestake, 13.08.2017 07:55

The Trail of Tears

The Trail of Tears




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Author: Jahoda, Gloria
ISBN: 9780517146774
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Title: The Trail of Tears
Publisher: Wings
Publication Date: 1995
Binding: Hardcover
Book Condition: Used: Good



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Supost, 13.08.2017 07:55

A Long Line of Dead Men - A Matthew Scudder Novel

A Long Line of Dead Men - A Matthew Scudder Novel




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Author: Lawrence Block
ISBN: 9781482988161

[Read by Joe Barrett]

In his latest case, Matthew Scudder is forced to look closely at his own life - his work, his relationships, and his destiny. - - An ancient brotherhood meets annually in the back room of a swank Manhattan restaurant, a fraternity created in secret to celebrate life by celebrating its dead. But the past three decades have not been kind to the Club of 31. Matthew Scudder - ex-cop and ex-boozer - has known death in all its guises, which is why he has been asked to investigate a baffling thirty-year run of suicides and suspiciously random accidents that has thinned the ranks of this very select group of gentlemen. - - But Scudder has mortality problems of his own, for his is a city that feeds mercilessly on the unsuspecting - even the powerful and those who serve them are easy prey. There are too many secrets here, too many places for a maddeningly patient serial killer to hide . . . and wait . . . and strike.

Title: A Long Line of Dead Men - A Matthew Scudder ...

Publisher: Blackstone Audio

Book Condition:BRAND NEW



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Pokenderyind, 13.08.2017 07:55

TILLIE THE TOILER IN "AFTER HOURS"

TILLIE THE TOILER IN "AFTER HOURS"




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Title: TILLIE THE TOILER IN AFTER HOURS

Publisher: nd, n.p.



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Derto1986, 13.08.2017 07:55

Dark Ages: Lasombra

Dark Ages: Lasombra




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Author: David Niall Wilson
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Cocruch, 13.08.2017 07:55

The West of William H. Ashley: The International Struggle for the Fur Trade of the Missouri, the Rocky Mountains, and the Columbia, with Explorations Beyond the Continental Divide, Recorded in the Diaries and Letters of William H. Ashley and His Contemporaries, 1822-1838

The West of William H. Ashley: The International Struggle for the Fur Trade of the Missouri, the Rocky Mountains, and the Columbia, with Explorations Beyond the Continental Divide, Recorded in the Diaries and Letters of William H. Ashley and His Contemporaries, 1822-1838




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3. The West of William H. Ashley: The International Struggle for the Fur Trade of the Missouri, the Rocky Mountains, and the Columbia, with Explorations Beyond the Continental Divide, Recorded in the Diaries and Letters of William H. Ashley and His Contemporaries, 1822-1838.mobi
4. The West of William H. Ashley: The International Struggle for the Fur Trade of the Missouri, the Rocky Mountains, and the Columbia, with Explorations Beyond the Continental Divide, Recorded in the Diaries and Letters of William H. Ashley and His Contemporaries, 1822-1838.epub
5. The West of William H. Ashley: The International Struggle for the Fur Trade of the Missouri, the Rocky Mountains, and the Columbia, with Explorations Beyond the Continental Divide, Recorded in the Diaries and Letters of William H. Ashley and His Contemporaries, 1822-1838.doc


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Author: Morgan, Dale Lowell,ed.; Ashley, William Henry
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Title: The West of William H. Ashley: The ...

Publisher: Old West Pub. Co., Denver

Publication Date: 1964

Binding: Cloth

Edition: First edition.



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Aftyrand, 13.08.2017 07:55

Can Abolitionists Vote or Take Office under the United States Constitution? The Anti-Slavery Examiner. No. 13

Can Abolitionists Vote or Take Office under the United States Constitution? The Anti-Slavery Examiner. No. 13




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Title: Can Abolitionists Vote or Take Office under ...

Publisher: American Anti-Slavery Society, New York

Publication Date: 1845

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Edition: First edition.



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Didne1990, 17.08.2017 12:06

Nice share mate... Max rep added....
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Monesty, 26.08.2017 20:25

Links are dead
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