Securities Firms

Securities Firms

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Examines the issues associated with the regulatory structure for overseeing the domestic and foreign affiliates of U.S. broker-dealers. Recommends that the SEC use its new authority under the Market Reform Act of 1990 to obtain information to evaluate the risks about unregulated financial activities of the affiliated and holding companies of U.S. securities firms and to determine the need for any further regulation of them. Graphs and charts.... Approach Different purposes for the regulation of U.S. bank and securities firms help explain why banks are subject to ... banks, however, customers generally invest money through broker-dealers and assume the risks that the investmentanbsp;...


Title:Securities Firms
Author:
Publisher:DIANE Publishing - 1992-05-01
ISBN-13:

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