The securities industry and the law

Journal of Banking and Finance

Volumn 26, Issue 9, 2002, Pages 1867-1888

  Bear, Larry Alan ^a   Maldonado Bear, Rita ^a,b  

^a NEW YORK UNIVERSITY   (United States)

^b Tisch Hall 903 ^*  (United States)

Author keywords

Ethics; Law; Securities industry

Indexed keywords

EID: 0036342871     PISSN: 03784266     EISSN: None     Source Type: Journal    
DOI: 10.1016/S0378-4266(02)00196-6     Document Type: Article

References (32)

1. Free Markets, Finance, Ethics and Law
2. Firm pegs accounts in on line trading at 3.7 million
3. Values Added: Making Ethical Decisions in the Financial Marketplace
4. Bear Stearns' Richard Harriton is likely to step down as part of pact with SEC
5. Can Wall St.'s old guards cope with the new trading?
6. Trading places: The stock exchanges, long static, suddenly are roiled by change - ECNs, Internet Prod NYSE and others to consider radical steps like IPOs
7. SEC likely to criticize big board - Settlement expected in floor trading case
8. SEC assails oversight lag at big board
9. Moral Mazes: The World of Corporate Managers
10. Ethical foundations of financial regulation
11. Compliance Programs and the Corporate Sentencing Guidelines
12. Living with the organizational guidelines
13. Humbled by the company he kept
14. Not to seem cranky but what's the big rush?
15. Cases In Leadership, Ethics and Organizational Integrity
16. SEC intensifies inquiry into commissions for hot IPOs
17. Just Deserts for Corporate Criminals
18. Bear stearns takes stand on clearing
19. Heat rises on Wall Street 'clearing operations'
20. The spin desk: Underwriters set aside IPO stock for officials of potential customers
21. Massachusetts nears pact in IPO probe
22. A long season of Wall Street weirdness
23. Bear stearns could settle clearing case
24. The Crisis of Global Capitalism (Open Society Endangered)
25. Free Markets and Social Justice
26. SEC wants investment managers to tell clients more about 'soft dollar' services
27. The On Line Lineup
28. 1999 Annual Report