Securities Industry Study Self Regulation In The Securities Industry
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Securities Industry Study Self regulation in the securities industry
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities |
Publsiher | : Unknown |
Total Pages | : 352 |
Release | : 1971 |
Genre | : Brokers |
ISBN | : LOC:00073939586 |
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Securities Industry Study Appendix to proceedings on self regulation in the securities industry
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities |
Publsiher | : Unknown |
Total Pages | : 380 |
Release | : 1971 |
Genre | : Brokers |
ISBN | : LOC:00073939513 |
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Securities Industry Study
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities |
Publsiher | : Unknown |
Total Pages | : 135 |
Release | : 1971 |
Genre | : Securities industry |
ISBN | : OCLC:949905899 |
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Securities Markets
Author | : Richard J. Hillman |
Publsiher | : DIANE Publishing |
Total Pages | : 52 |
Release | : 2002-09 |
Genre | : Electronic Book |
ISBN | : 0756726581 |
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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.
A Review of Self regulatory Organizations in the Securities Markets
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publsiher | : Unknown |
Total Pages | : 64 |
Release | : 2007 |
Genre | : Business & Economics |
ISBN | : PSU:000063503791 |
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Securities Industry Study
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities |
Publsiher | : Unknown |
Total Pages | : 252 |
Release | : 1973 |
Genre | : Securities |
ISBN | : UOM:35128000270999 |
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Securities Industry Study Report If the Subcommittee on Securities 260
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publsiher | : Unknown |
Total Pages | : 286 |
Release | : 1973 |
Genre | : Electronic Book |
ISBN | : STANFORD:36105019572531 |
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Securities Industry Study
Author | : United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance |
Publsiher | : Unknown |
Total Pages | : 200 |
Release | : 1972 |
Genre | : Securities |
ISBN | : SRLF:A0000142836 |
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