Wall Street Policies Itself: How Securities Firms Manage the Legal Hazards of Competitive Pressures by David McCaffrey
English | 1 Apr. 1998 | ISBN: 0195111877 | 220 Pages | PDF | 12 MB
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.