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Investment Banks, Hedge Funds, and Private Equity, 2nd Edition by David Stowell

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2

Regulation of the Securities Industry

Introduction

Activities of investment banks impact the global economy and are very important to the smooth functioning of capital markets. Given their significance, it is no surprise that the business of investment banking has been subject to a great deal of government regulation. This chapter discusses the regulatory environment of investment banking. In Section One, the U.S. history of investment banking and regulation is discussed. Section Two looks at more recent events and regulations. Section Three summarizes the regulatory environment in the United Kingdom, Japan, and China.

Section One: U.S. Regulations

Early Investment Banking

The essence of what an investment bank does in its underwriting business ...

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