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Journal cover: Journal of Financial Regulation and Compliance

Journal of Financial Regulation and Compliance

ISSN: 1358-1988

Online from: 1992

Subject Area: Accounting and Finance

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THE CAPITAL ADEQUACY REGULATION OF US BROKER-DEALERS: A COMPARATIVE ANALYSIS — PART 2


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Title:THE CAPITAL ADEQUACY REGULATION OF US BROKER-DEALERS: A COMPARATIVE ANALYSIS — PART 2
Author(s):RICHARD DALE, (PROFESSOR OF INTERNATIONAL BANKING AND PROFESSOR OF INTERNATIONAL BANKING AND FINANCIAL INSTITUTIONS AT SOUTHAMPTON UNIVERSITY.)
Citation:RICHARD DALE, (1995) "THE CAPITAL ADEQUACY REGULATION OF US BROKER-DEALERS: A COMPARATIVE ANALYSIS — PART 2", Journal of Financial Regulation and Compliance, Vol. 3 Iss: 2, pp.153 - 175
Article type:General review
DOI:10.1108/eb024839 (Permanent URL)
Publisher:MCB UP Ltd
Abstract:As financial markets across the world become more integrated, the potential for financial shocks to be transmitted both from one jurisdiction to another and from one financial sector to another increases. At the same time differences in national regulatory arrangements can be the source of important competitive distortions between financial institutions. Against this background national authorities have been seeking to coordinate the regulation of securities firms and of batiks undertaking securities business. This paper, which is published in two parts, aims to clarify some of the policy issues arising from recent convergence initiatives by examining the US capital adequacy rules for US investment firms and contrasting the US approach with European securities regulation as formulated in the Capital Adequacy Directive. The first part of this paper was published in the previous issue of Journal of Financial Regulation and Compliance.


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