Search
Navigation
Join our mailing list!
(Your shopping cart is empty)
Home
>
Diane Publishing Books
>
Securities Research: Additional Actions Could Improve Regulatory Oversight of Analyst Conflicts of Interest
Our Price:
$
25.00
By
A. Nicole Clowers (au)
Year:
2012
Pages:
69
Binding
Paperback
ISBN
978-1-4578-2726-6
Product Code:
1457827263
Description
In 2003 and 2004, the SEC, self-regulatory org. (SRO), and others settled with 12 broker-dealers to address conflicts of interest between the firmsäó» research and investment banking (IB) personnel. The regulators alleged that the firms allowed their IB to pressure equity research analysts in ways that could cause them to issue misleading research to the harm of investors. Under the settlement, the firms had to undertake reforms designed to sever links between research and IB. This report discusses: (1) what is known about the effectiveness of the regulatory actions taken to address analyst conflicts; and (2) what further actions could be taken to address analyst conflicts. Charts and tables. This is a print on demand report.
Related Products...
Behavior & Learning of Animal Babies
Our Price:
$19.00
Add
Asia Rising: Why America Will Prosper as Asia’s Economies Boom
Our Price:
$25.00
Add
Gershwin in His Time: A Biographical Scrapbook, 1919-1937
Our Price:
$25.00
Add
Presidential Landmarks
Our Price:
$25.00
Add
American Vegetarian Resource Directory: Some Signposts on the Journey Towards a Healthier, More Ethically & Environmentally Balanced Lifestyle
Our Price:
$7.00
Add
Share your knowledge of this product with other customers...
Be the first to write a review
Diane Publishing Co
PO Box 617
Darby, PA 19023-0617
1-800-782-3833
About Us
Become an Affiliate
Privacy Policy
Send Us Feedback
Company Info
|
Advertising
|
Product Index
|
Category Index
|
Help
|
Terms of Use
Copyright � 2004 Diane Publishing Company. All Rights Reserved.
Built with
Volusion