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Securities Firms: Assessing the Need to Regulate Additional Financial Activities

  Premium   Download PDF Now (98 pages)
Report Type Reports and Testimonies
Report Date April 21, 1992
Report No. GGD-92-70
Subject
Summary:

The 1980s were boom years for the securities industry. Securities firms diversified domestically, increased business abroad, and in some cases sold out to large conglomerates like Sears. Many of the financial activities of these firms now take place outside the traditional framework of state and federal regulation. While these activities are increasing, little is known about their total size and scope or about the risks they pose to customers and other groups. This report examines the organization and regulatory structure of large U.S. securities firms to identify whether regulatory gaps exist that might affect U.S. investors and the financial system. GAO also looks at whether different regulatory approaches to bank holding companies and foreign securities firms might be applicable to U.S. securities firms.

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