Comparing European and U.S. Securities Regulations: Mifid Versus Corresponding U.S. Regulations

The paper compares the EU and US securities regulations, and specifically MiFID with the corresponding US regulations. It primarily focuses on the regulatory and supervisory framework, trading venues, and the provision of investment services. The paper argues that the architecture and some of the rules regarding securities markets are different in the two regions, but the objectives and some of the outcomes are similar. It looks at the regulatory frameworks, the scope and objectives of securities regulations, the rules implementing the different objectives, and draws some crisis-related lessons. The primary audience of this study is professionals, government officials and scholars working in the field of securities regulations.

Author: Tanja Boskovic, Caroline Cerruti, Michel Noel
Publisher: World Bank Publications
Published: 12/30/2009
Pages: 184
Binding Type: Paperback
Weight: 0.73lbs
Size: 10.00h x 7.00w x 0.40d
ISBN13: 9780821382530
ISBN10: 0821382535
BISAC Categories:
- Law | Securities
- Law | Administrative Law & Regulatory Practice

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