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THE SEC: AN EXAMINATION OF ITS STRUCTURE, POWERS AND PROCEDURES

ROWAN BOSWORTH‐DAVIES (AFTER READING FOR THE BAR AT THE MIDDLE TEMPLE, THE AUTHOR JOINED THE MAGISTRATES COURTS SERVICE AS A CLERK TO THE JUSTICES IN 1971)

Journal of Financial Regulation and Compliance

ISSN: 1358-1988

Article publication date: 1 March 1993

Abstract

The author examines the historical and political background to the creation of the Securities and Exchange Commission, identifying the use made by its architects of earlier English company legislation to define its regulatory remit; before making a detailed evaluation of its structure and powers. The paper continues by setting out the major procedural functions of the Commission before ending with a comparative analysis of its regulatory functions and effectiveness.

Citation

BOSWORTH‐DAVIES, R. (1993), "THE SEC: AN EXAMINATION OF ITS STRUCTURE, POWERS AND PROCEDURES", Journal of Financial Regulation and Compliance, Vol. 2 No. 1, pp. 31-41. https://doi.org/10.1108/eb024791

Publisher

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MCB UP Ltd

Copyright © 1993, MCB UP Limited