THE CAPITAL ADEQUACY REGULATION OF US BROKER‐DEALERS: A COMPARATIVE ANALYSIS — PART 1
Tóm tắt
Từ khóa
Tài liệu tham khảo
Regulating Investment, 1994, Bank of England Quarterly Bulletin, 333
Haberman G., 1987, Capital
Requirements, Federal Reserve Bank ofNew York Quarterly Review, 1
1983, Journal ofPolitical Economy, 401
Kane E. J., 1981, Journal of Finance, 51
Securities Firms', 1989, August
OECD, 1991, Systemic Risks in Secu
Swiss Federal Supreme Court, IBCA
Molinari S., 1983, The Georgetown LawJournal, 72
SEC, 1971, H.R. Doc. 231, 92nd Cong. 1st Sess.
SEC, 1982, Securities and Exchange
SEC, 1975, Securities and Exchange
SEC, 1980, Securities and Exchange
Molinari, 1983, op. cit
Kelly E., 1985, Walter, I. (ed.) 'Deregulating Wall Street, 41
SEC (1971) op. cit, p.17.
SEC, 1982, Securities and Exchange
SEC (1971) op. cit., p.214.
Dale R., 1992, International
Haberman G., 1977, op cit
IOSCO, 1992, Principles for the
SEC, 1988, The
February 1990, op. cit., p.38.
SEC, 1992, Securities and
Subcommittee, 1989, 25th, 14
Custody Review', 1993, August
Molinari, 1983, op. cit
SEC (1971) op. cit., p.14.
SEC, 1972, Securities and
SEC (1971) op. cit., p.17.
