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

by David P. McCaffrey

  • ISBN: 9780195111873
  • ISBN10: 0195111877

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

by David P. McCaffrey

  • Binding: Hardcover
  • Publisher: Oxford Univ Pr on Demand
  • Publish date: 07/01/1998
  • ISBN: 9780195111873
  • ISBN10: 0195111877
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Description: 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.
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