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


This book examines how firms in the securities industry practice self-regulation. The authors look at three elements of the system that help to determine success or failure: a combination of the industry's technological, economic, competitive and legal conditions, why effective self-regulation varies so much between firms, and how the industry and government can take steps to facilitate self-regulatory systems within firms.

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