Abuse on Wall Street: Conflicts of Interest in the Securities Markets : Report to the Twentieth Century Fund Steering Committee on Conflicts of Interest in the Securities Markets
Quorum Books, 1980 - Business & Economics - 621 pages
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INTRODUCTION by Roy A Schotland for the Steering Committee
What Is a Conflict of Interest?
Conflicts in Financial Institutions
74 other sections not shown
abuses advisory fees affiliated allocation bank trust departments bank's beneficiaries benefits block broker-dealer brokers clients commissions committee common stock competitive conflicts of interest corporate pension costs customer's customers dealer deposits directors disclosure employees equity ERISA example executive federal fiduciary firm foundation fund's holdings income industry inside information Institutional Investor investment advisors investment banker investment companies investment management involved issuer Labor loans major market makers ment Merrill Lynch million mortgage mutual fund NASD offering officers organization Penn Central pension plans percent personal trust potential problems profit public pension funds purchase rates real estate regulation REIT's REITs relationships Retirement System rule securities self-dealing sell shares sponsors stockholders Teamsters tion trading transactions trust banks trust cash Trust Company underwriting union funds union pension funds voting Wall Street York Stock Exchange