Securities Markets: Competition & Multiple Regulators Heighten Concerns About Self-Regulation

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Our Price: $20.00

Year: 2002
Pages: 48
Binding Paperback

Product Code: 0756726581

Description

Richard J. Hillman. 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.

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