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Banks, Securities and the Volcker Rule: Background and Issues
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Editors: Nicole A. Garcia
Book Description:
In 1933, during the first 100 days of President Franklin D. Roosevelt's New Deal, the Securities Act of 1933 and the Glass-Steagall Act (GSA) were enacted, setting up a pervasive regulatory scheme for the public offering of securities and generally prohibiting commercial banks from underwriting and dealing in those securities. Banks are subject to heavy, expensive prudential regulation, while the regulation of securities firms is predominantly built around registration, disclosure of risk, and the prevention and prosecution of insider trading and other forms of fraud. This book discusses the permissible proprietary trading activities of commercial banks and their subsidiaries under current law and then analyzes the Volcker Rule proposals under the House and Senate passed financial reform bills. (Imprint: Nova)

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Table of Contents:

Permissible Securities Activities of Commercial Banks under the Glass-Steagall Act (GSA) and the Gramm-Leach-Bliley Act (GLBA), pp. 1-70
(David H. Carpenter, M. Maureen Murphy)

The "Volcker Rule": Proposals to Limit "Speculative" Proprietary Trading by Banks, pp. 71-137
(David H. Carpenter, M. Maureen Murphy)

Chapter Sources pp.137-138

Index pp.139-142

      Financial Institutions and Services
      Business Issues, Competition and Entrepreneurship
   Binding: Hardcover
   Pub. Date: 2011
   Pages: 142.pp
   ISBN: 978-1-61761-988-5
   Status: AV
Status Code Description
AN Announcing
FM Formatting
PP Page Proofs
FP Final Production
EP Editorial Production
PR At Prepress
AP At Press
AV Available
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Banks, Securities and the Volcker Rule: Background and Issues