Securities Investor Protection : Steps Needed To Better Disclose Sipc Policies To Investors
Author: Richard J. Hillman
Publisher: DIANE Publishing
Number of Pages: 100
Book Description: Assesses the operations of the Securities Investor Protection Corp. (SIPC), established in 1970. It discusses: (1) the basis for SIPC policies involving unauthorized trading & the extent that these policies are disclosed to investors; (2) the basis for SIPC policies involving the affiliates of SIPC member firms & the extent that these policies are disclosed to investors; (3) the SECs oversight of SIPC; & (4) the disclosure rules for SIPC, the FDIC, & state insurance guarantee associations, as well as the related implications for consumers as the financial services industry consolidates. Includes recommendations to the SIPC & the SEC regarding disclosure of SIPC policies & SEC's SIPC oversight.
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