Chapter 15

Knowing the Rules

In This Chapter

arrow Getting an understanding for the goals of financial regulation

arrow Finding out how the rules have evolved through time

arrow Coming to terms with the common rules imposed on investment banks

arrow Seeing how investment banking regulation changed after the recent financial crisis

arrow Finding out about the rules on investment analysts

arrow Finding out why regulation may be ineffective

Some people would say investment banking is a highly regulated industry, while others would contend that it isn't regulated nearly enough and more government oversight is warranted. The recent financial crisis of 2007 and 2008 has refocused debate on the role of regulation and the perceived failure of oversight to prevent the near meltdown of the financial system and subsequent global recession. Trying to strike the proper balance between free market forces and the protection of investors ...

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