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Year of publication
Subject
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Kapitalmarktrecht 2,686 Financial markets law 2,615 Deutschland 753 Germany 715 Finanzmarktregulierung 553 Financial market regulation 552 USA 489 United States 478 EU countries 387 EU-Staaten 387 Financial market 371 Finanzmarkt 371 Regulierung 342 Wertpapierrecht 304 Regulation 296 Securities law 296 Financial supervision 266 Finanzmarktaufsicht 266 Wertpapierhandel 228 Welt 223 World 223 Securities trading 222 Finanzkrise 207 Corporate disclosure 201 Unternehmenspublizität 201 Financial crisis 199 Anlegerschutz 168 Investor protection 153 Börsenkurs 144 Share price 144 Bankrecht 137 Corporate Governance 133 Theorie 133 Theory 133 Banking law 128 Corporate governance 128 Börsengang 124 Initial public offering 124 International financial market 124 Internationaler Finanzmarkt 124
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Online availability
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Free 453 Undetermined 255 CC license 15
Type of publication
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Book / Working Paper 1,468 Article 1,183 Journal 33 Database 2
Type of publication (narrower categories)
All
Article in journal 886 Aufsatz in Zeitschrift 886 Hochschulschrift 360 Graue Literatur 322 Non-commercial literature 322 Aufsatz im Buch 302 Book section 302 Thesis 252 Arbeitspapier 161 Working Paper 161 Collection of articles of several authors 157 Sammelwerk 157 Gesetz 68 Konferenzschrift 68 Law 68 Amtsdruckschrift 55 Government document 55 Aufsatzsammlung 53 Bibliografie enthalten 49 Bibliography included 49 Conference proceedings 38 Handbook 33 Handbuch 33 Lehrbuch 19 Textbook 14 Festschrift 13 Kommentar 10 Bibliografie 9 Quelle 9 Collection of articles written by one author 8 Glossar enthalten 8 Glossary included 8 Sammlung 8 Mehrbändiges Werk 6 Multi-volume publication 6 Advisory report 4 Gutachten 4 Case study 3 Elektronischer Datenträger 3 Fallstudie 3
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Language
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English 1,535 German 1,033 French 55 Italian 36 Spanish 27 Russian 13 Polish 10 Dutch 7 Croatian 5 Norwegian 3 Swedish 3 Ukrainian 3 Czech 2 Hungarian 2 Bulgarian 1 Macedonian 1 Serbian 1 Turkish 1 Undetermined 1
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Author
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Baums, Theodor 17 Fleischer, Holger 17 Cumming, Douglas J. 13 Hopt, Klaus J. 13 Gomber, Peter 12 Oppitz, Martin 12 Veil, Rüdiger 11 Flint, George 9 Jackson, Howell E. 9 Johan, Sofia Atiqah 9 Kalss, Susanne 9 Mülbert, Peter O. 9 Rosen, Rüdiger von 9 Buck-Heeb, Petra 8 Lannoo, Karel 8 Leuz, Christian 8 Romano, Roberta 8 Chakravarty, Sugato 7 Gerardi, Kristopher 7 Habersack, Mathias 7 Lambie-Hanson, Lauren 7 Schlitt, Michael 7 Bartels, Boris 6 Bernstein, Asaf 6 Ernoult, Julien 6 Hassan, M. Kabir 6 Hughson, Eric 6 Klöhn, Lars 6 Li, Kai 6 Macey, Jonathan R. 6 Möllers, Thomas M. J. 6 Nobel, Peter 6 Segna, Ulrich 6 Weidenmier, Marc D. 6 Willen, Paul 6 Wood, Philip 6 Arner, Douglas W. 5 Assmann, Heinz-Dieter 5 Busch, Danny 5 Degryse, Hans 5
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Institution
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Nomos Verlagsgesellschaft 17 Bundesverband Öffentlicher Banken Deutschlands 12 National Bureau of Economic Research 11 Bucerius Law School 9 Mohr Siebeck GmbH & Co. KG 8 Schulthess Juristische Medien 7 Verlag Dr. Kovač 7 Ludwig-Maximilians-Universität München 6 Duncker & Humblot 5 Italien / Camera dei Deputati 5 Peter Lang GmbH 5 Westfälische Wilhelms-Universität Münster 5 Deutsches Aktieninstitut 4 Rheinische Friedrich-Wilhelms-Universität Bonn 4 The Wharton Financial Institutions Center 4 Universität Augsburg 4 Deutsche Börse AG 3 Deutschland <Bundesrepublik> / Bundesminister der Finanzen 3 Europäische Kommission 3 Friedrich-Schiller-Universität Jena 3 Martin-Luther-Universität Halle-Wittenberg 3 USA / Congress / Senate / Committee on Agriculture, Nutrition and Forestry 3 USA / Securities and Exchange Commission 3 Universität zu Köln 3 Westfälische Wilhelms-Universität Münster / Institut für Revisionswesen 3 Australien / Companies and Securities Advisory Committee 2 Brookings Institution 2 C.F. Müller Verlag 2 CCH Incorporated <Chicago, Ill.> 2 Centre for European Policy Studies 2 Commission Bancaire et Financière 2 Costa Rica / Superintendencia General de Valores 2 Deutschland 2 Dike Verlag 2 Europa-Institut <Saarbrücken> 2 Europäische Union 2 Europäische Zentralbank 2 Europäisches Parlament / Ausschuss für Recht und Bürgerrechte 2 Europäisches Parlament / Generaldirektion Ausschüsse und Interparlamentarische Delegationen / Ausschuss für Wirtschaft, Währung und Industriepolitik 2 Frankfurt School Verlag GmbH 2
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Published in...
All
The journal of investment compliance 64 Bank-Archiv : Zeitschrift für das gesamte Bank- und Börsenwesen : journal of banking and financial research 38 Global financial crisis : navigating and understanding the legal and regulatory aspects 33 The journal of futures markets 21 Financial stability review : FSR 19 Europäische Hochschulschriften 18 Journal of securities operations & custody 18 Arbeitspapiere / Universität Osnabrück, Institut für Handels- und Wirtschaftsrecht 17 Betriebs-Berater : BB 16 Die Aktiengesellschaft : AG : Zeitschrift für deutsches, europäisches und internationales Aktien-, Unternehmens- und Kapitalmarktrecht 16 Unternehmensfinanzierung am Kapitalmarkt 15 Untersuchungen über das Spar-, Giro- und Kreditwesen / B 15 Zeitschrift für Bankrecht und Bankwirtschaft : ZBB 15 Revue d'économie financière : revue trimestrielle de l'Association Europe finances régulations 14 Schriften zum Unternehmens- und Kapitalmarktrecht 14 Finanz-Betrieb : FB ; Zeitschrift für Unternehmensfinanzierung und Finanzmanagement 13 Abhandlungen zum deutschen und europäischen Gesellschafts- und Kapitalmarktrecht : AGK 12 Die Bank 12 SpringerLink / Bücher 12 The business lawyer 12 Working paper / National Bureau of Economic Research, Inc. 12 Yale journal on regulation 12 Der Betrieb 11 NBER working paper series 11 Schriften des Augsburg Center for Global Economic Law and Regulation : Arbeiten zum internationalen Wirtschaftsrecht und zur Wirtschaftsregulierung 11 The Denver journal of international law and policy 11 Journal of international business law 10 Recht der internationalen Wirtschaft : RIW ; Betriebs-Berater international 10 Journal of banking & finance 9 Zeitschrift für Unternehmens- und Gesellschaftsrecht : ZGR 9 Bank-Praktiker : rechtssicher, revisionsfest, risikogerecht 8 Europäische Hochschulschriften / 5 8 Journal of financial economics 8 NBER Working Paper 8 Schriften zum Gesellschafts-, Bank- und Kapitalmarktrecht 8 The journal of corporate accounting & finance 8 Discussion paper series / John M. Olin Center for Law, Economics, and Business, Harvard Law School 7 Hedgefonds und private equity - Fluch oder Segen? 7 MiFID-Kompendium : praktischer Leitfaden für Finanzdienstleister 7 Schweizer Schriften zum Finanzmarktrecht 7
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Source
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ECONIS (ZBW) 2,681 USB Cologne (EcoSocSci) 5
Showing 1 - 50 of 2,686
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Research unbundling and market liquidity : evidence from MiFID II
Fu, Anqi; Jenkinson, Tim; Newton, David P.; Xie, Ru - In: European financial management : the journal of the … 30 (2024) 4, pp. 1759-1786
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How does the JOBS act affect the rule 144A market?
Cai, Nianyun; Zhu, Hui - In: The journal of financial research : the journal of the … 47 (2024) 4, pp. 1245-1276
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Enhancing repo market transparency : the EU Securities Financing Transactions Regulation
Bassi, Claudio; Grill, Michael; Mirza, Harun; … - 2024
The introduction of the Securities Financing Transactions Regulation into EU law provides a unique opportunity to obtain an in-depth understanding of repo markets. Based on the transaction-level data reported under the regulation, this paper presents an overview and key facts about the euro area...
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Kryptoaktien : Erweiterung des eWpG durch das Zukunftsfinanzierungsgesetz
Möslein, Florian (ed.); Omlor, Sebastian (ed.) - 2024
Der Sammelband enthält die Schriftfassung der Vorträge zur Tagung »Elektronische Aktien«, die anlässlich des Gesetzgebungsverfahrens zum Zukunftsfinanzierungsgesetz am 15. Mai 2023 in der Hessischen Landesvertretung in Berlin stattfand.
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Circuit breakers and market runs
Bongaerts, Dion; De Luca, Sarah D.; Van Achter, Mark - 2024
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The concept of financial instruments : drawing the Borderline between MiFID and MiCAR
Lehmann, Matthias; Schinerl, Fabian - 2024
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Price deregulation and investors' IPO speculation : evidence from Chinese registration system reform
Tang, Siyuan; Luo, Runmei - In: Research in international business and finance 71 (2024), pp. 1-23
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Regulatory transparency and regulators' effort : evidence from public release of the SEC's review work
Guo, Rui; Tian, Xiaoli - In: Journal of accounting research 62 (2024) 1, pp. 229-273
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The European securitization market : effects of an uneven regulatory playing field
Varouchakis, Thomas Papadogiannis - In: Journal of financial regulation 10 (2024) 2, pp. 143-173
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Implementation of MiFID II investor protection provisions by private banks within the European Union
Loonen, Tom; Janssen, Ronald - In: Journal of financial regulation and compliance 31 (2023) 1, pp. 1-15
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Climate Disclosure Line-Drawing & Securities Regulation
Harper Ho, Virginia E. - 2023
The SEC’s efforts to standardize climate disclosure have revealed deep divides among the public and among corporate and securities law scholars about the proper scope and goals of climate disclosure reform. This controversy comes at a time when investor demand for ESG investment products is...
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Impact of MiFID II tick-size regime on equity markets : evidence from the LSE
Favaretto, Eros; Lepone, Andrew; Lepone, Grace - In: European financial management : the journal of the … 29 (2023) 1, pp. 109-149
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'Nobody is Proud of Soft Dollars' : The Impact of MiFID II on U.S. Financial Markets
Jackson, Howell E.; Zhang, Jeffery - 2023
Since 1975, investment managers in the United States have been permitted to pay excess brokerage commissions on securities transactions and then utilize those excess payments—commonly known as “soft dollars”—to purchase research and related services, thereby subsidizing the investment...
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Psychological Bias as a Driver of Financial Regulation
Hirshleifer, David A. - 2023
I propose here the psychological attraction theory of financial regulation—that regulation is the result of psychological biases on the part of political participants—voters, politicians, bureaucrats, and media commentators; and of regulatory ideologies that exploit these biases. Some key...
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Sec Confidential Treatment and Regulatory Filing Reviews
Kolev, Kalin S.; Lee, Daeun; Neamtiu, Monica - 2023
We study the interplay between the redaction of information from regulatory filings and SEC monitoring of the redacting firms. We find that redactions are associated with more intense SEC monitoring, as evidenced by higher incidence of comment letters and a longer letter resolution process. Hand...
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The SEC Proposed Cybersecurity Infrastructure Rules and New Disclosure Requirements
Newman, Neal; Trautman, Lawrence J.; Elzweig, Brian - 2023
In addition to regulation of securities market issuers, the Securities & Exchange Commission (SEC) is also responsible for regulation of those entities that provide the networks, either electronic or physical, that enable the functioning of our securities markets. On February 9, 2022, the...
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SEC and Company Comment Letters for Regulation A Filings
Krause, David - 2023
Regulation A (Reg A) offerings provide an alternative way for companies to raise capital from the public without undergoing the full registration and reporting requirements of a traditional initial public offering. To ensure that investors are fully informed about the investment opportunity, Reg...
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Do the Securities Laws Actually Protect Investors? Lessons from SPACs
Corrigan, Patrick M. - 2023
Issuer choice proposals argue against mandatory securities regulation because market competition alone purportedly constrains exploitation of public investors in primary offerings. Other legal scholars support a mandatory regime. To date, empirical studies have been unable to resolve whether the...
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Why do firms down-list or exit from securities markets? : evidence from the German Stock Exchange
Bessler, Wolfgang; Beyenbach, Johannes Ottmar; Rapp, … - In: Review of managerial science : RMS 17 (2023) 4, pp. 1175-1211
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EU Banking and Capital Markets Regulation : Open Issues of Vertical Interplay with National Law
Annunziata, Filippo (ed.); Siri, Michele (ed.) - 2025
Chapter 1: The principle of proportionality as an area of national discretion -- Chapter 2: Options and Discretions under the Capital Requirements Directive IV -- Chapter 3: The application of National Law by the ECB -- Chapter 4: The Corneli Case and the Application of National Law by the...
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Crypto-Assets : MiCAR, DLT-Pilotregelung, MiFID II, Prospekt-VO, MAR, E-Geld-RL, GeldwäscheRL, Steuerrecht, KMAG-E : Kommentar
Kalss, Susanne; Krönke, Christoph; Völkel, Oliver; … - 2025
Mit der Verordnung über Märkte für Kryptowerte (MiCAR) und der Verordnung über eine Pilotregelung für auf der Distributed-Ledger-Technologie basierende Marktinfrastrukturen (DLT-Pilotregelung) hat die Europäische Union ein unionsweit einheitliches Regime zur Regulierung der Ausgabe von und...
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Blockchain technology in project finance : a legal and practical model for financing mega-investments
Srokosz, Witold; Lenio, Paweł; Sobiecki, Grzegorz - 2025
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Kapitalmarktrecht : Textausgabe mit Sachverzeichnis und einer Einführung
Klöhn, Lars (introduction) - 2025 - 12. Auflage, Stand 1. März 2025, Sonderausgabe
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Financial Technology Law and Regulation in Africa
Salami, Iwa - 2025
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Auditor political connections and SEC oversight
Krishnan, Jagan; Li, Meng; Park, Hyun Jong - 2025
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Unternehmensfinanzierung am Kapitalmarkt
Habersack, Mathias; Mülbert, Peter O.; Schlitt, Michael; … - 2025 - 5. neu bearbeitete Auflage
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High-End Securities Regulation
Clayton, William W. - 2022
The SEC has long taken a hands-off approach to private markets. Instead of direct regulation, the SEC has used investor access restrictions to create high-end contracting environments where investors (in theory) have the resources needed to fend for themselves. But in early 2022, this hands-off...
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Digital Platforms, Capital Raising and EU Capital Markets Law : Different Shades of Decentralisation
Macchiavello, Eugenia - 2022
Decentralised finance (DeFi) represents an extremely interesting and continuously growing area of the financial sector. The present paper analyses varied types of digital platforms, expression of different degrees of decentralisation/disintermediation, focusing on capital raising ones since...
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Critiquing the SEC’s On-Going Efforts to Regulate Crypto Exchanges
Goforth, Carol R. - 2022
Despite the so-called “Crypto Winter” in the spring of 2022, which saw a deep plunge in global crypto markets, interest in the appropriate way to develop, use, and regulate cryptoassets and crypto-based businesses continues to be high. In the U.S., a Presidential Executive Order and multiple...
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Relevance of the SEC’s Regulatory Oversight in Private Debt Contracting
Chy, Mahfuz; Khurana, Inder K.; Kyung, Hoyoun - 2022
We examine the causal effect of increased oversight by the U.S. Securities and Exchange Commission (SEC) on the cost of bank loans issued to U.S. cross-listed foreign firms, using the signing of the Multilateral Memorandum of Understanding (MMoU) as a natural experiment. The MMoU enables the SEC...
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Financial Regulation, Corporate Governance, and the Hidden Costs of Clearinghouses
Saguato, Paolo - 2022
Clearinghouses are systemic nodes in financial markets that handle trillions of dollars’ worth of transactions. Yet, these critical market infrastructures stand on fragile foundations. The Dodd-Frank Wall Street Reform Act of 2010, the sweeping financial reform that followed the 2008 financial...
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Digital Asset Innovations and Regulatory Fragmentation : The SEC versus the CFTC
Guseva, Yuliya; Hutton, Irena - 2022
In 2022, the White House released a regulatory framework calling for a whole-of-government approach to digital asset innovations. Although justified and necessary, this systems-based strategy discounts the reality that U.S. financial regulation is fundamentally fragmented. There are signs of a...
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SEC Rule 14a-8 Shareholder Proposals : No-Action Requests, Determinants, and the Role of SEC Staff
Burke, Gregory - 2022
Under SEC Rule 14a-8, shareholders have the right to petition management to include a topic for vote on the annual proxy statement. In response, management may request no-action relief from the Securities and Exchange Commission (SEC) staff to exclude unwelcome proposals. Using a sample of 3,040...
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Das Verbot der Marktmanipulation am Beispiel von aktivistischen Leerverkäufern : eine rechtsökonomische Untersuchung der kapitalmarktrechtlichen Zusammenhänge eines neuen Phänomens
Vollmerhausen, Marcel - 2022 - 1. Auflage
Wirecard, Adler & Co.: Das Aufkommen von Leerverkaufsattacken hat zu einer lebhaften Diskussion über deren rechtliche Zulässigkeit im Marktmissbrauchsrecht geführt. Die Untersuchung beantwortet die spannende Frage, unter welchen Voraussetzungen das Phänomen aktivistischer Leerverkäufer als...
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Passive Investoren : indexbasierte Vermögensverwaltung und die Corporate Governance der Publikumsgesellschaft
Steuer, Sebastian - 2022 - 1. Auflage
Der Siegeszug von Indexfonds stellt eine Herausforderung für die Corporate Governance von Publikumsgesellschaften dar. Auf Basis umfangreicher eigener Datenauswertungen dokumentiert die Arbeit zunächst den Bedeutungsgewinn passiver Vermögensverwalter in den Beteiligungsstrukturen....
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Die Strafbarkeit der Marktmanipulation unter dem europäischen Marktmissbrauchsregime
Richter, Thomas - 2022 - 1. Auflage
Das Werk untersucht die Strafbarkeit der Marktmanipulation gem. § 119 WpHG unter dem ab 2016 geltenden europäischen Marktmissbrauchsregime. Die durch europäische Normen bewirkten Änderungen der Strafbarkeit werden zusammenhängend untersucht. Im Rechtsvergleich mit anderen EU-Ländern zeigt...
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Short-termism im Aktien- und Kapitalmarktrecht : Ideengeschichte, Rechtsvergleichung, Rechtsökonomie
Bueren, Eckart - 2022
Die Aktiengesellschaft soll private Ersparnisse in dauerhaft gebundenes, unternehmerisches Anlagekapital transformieren. Zugleich erlaubt die Börsennotierung eine beliebig kurzfristige Anlage in unternehmenstragende Gesellschaften. Vor diesem Hintergrund bestehen in Rechtswissenschaft,...
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Don’t Forget the 'G' in ESG : The SEC and Corporate Governance Disclosure
O'Hare, Jennifer - 2022
For years, many shareholders—both institutional and individual investors—have pressured the Securities and Exchange Commission (“SEC”) to require public companies to disclose more information about the environmental, social, and governance (“ESG”) risks facing the company. However,...
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Adopting the SEC’s Proposed Climate-Related Disclosure Rules Would Be Unwise
Vollmer, Andrew N. - 2022
This is the second comment I filed with the Securities and Exchange Commission on its proposal to require climate-change disclosures (Proposal). My first comment, filed on April 12, 2022, explains that the SEC lacks statutory authority to adopt the rules in the Proposal.The second comment gives...
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Mifid Ii and European Closing Auctions
Derksen, Mike; Kleijn, Bas; De Vilder, Robin - 2022
European closing auction volumes increased heavily over the past years, in particular sincethe introduction of MiFID II in 2018. We show that this increase in closing auction volumesince 2018 is driven by an increase in limit order volume and that it contributes to moreefficient price formation....
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The SEC’s Climate Disclosure Proposal : Critiquing the Critics
Georgiev, George S. - 2022
The SEC released its long-awaited Climate Disclosure Proposal on March 21, 2022. The Proposal is expansive, the stakes are high, and, predictably, various critical arguments are being advanced in preparation for a potential court challenge. A close review of the Proposal, however, suggests that...
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The Securities Law Disclosure Conundrum for Publicly Traded Litigation Finance Companies
Weber, Robert F. - 2022
The article examines a peculiar legal dilemma—implicating securities law, legal ethics, and evidence law—that arises when litigation finance companies (LFCs) become public companies. LFCs provide funding to litigants and law firms for prosecuting lawsuits in exchange for a share of the...
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SPACs and the Regulation Gap : The Effect of First SEC Intervention
Akdoğu, Evrim; Simsir, Serif Aziz; Meric Yilmaz, Merve - 2022
We examine the effect of first official SEC announcement on April 12, 2021, regarding Special Purpose Acquisition Companies (SPACs), which is an alternative mechanism of taking firms public. A prevailing opinion of academics, practitioners, and regulators alike, is that the primary appeal of the...
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Strengthening capital markets regulation : national progress and gaps
Cuervo, Cristina; Long, Jennifer A.; Stobo, Richard - 2022
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The Unconsidered Costs of the SEC's Climate Disclosure Rule
Winden, Matthew - 2022
The SEC’s new GHG disclosure rule will likely lead to substantial economy-wide costs exceeding proposed benefits to investors. The reason is that, even though the SEC’s own cost estimate is substantial, it only focused on direct compliance costs of firms and ignored the costs accruing...
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Comment Letter on SEC Climate Disclosure Proposal by 22 Law and Finance Professors
Cunningham, Lawrence A. - 2022
This comment letter, by a group of 22 professors of law and finance, expresses concern that the SEC’s recent proposal to impose extensive mandatory climate-related disclosure rules on public companies (the “Proposal”) exceeds the SEC’s authority. In addition, rather than provide...
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Comment Letter of Securities Law Scholars on the SEC’s Authority to Pursue Climate-Related Disclosure
Fisch, Jill E.; Georgiev, George S.; Nagy, Donna M.; … - 2022
This Comment Letter, signed by 30 securities law scholars, responds to the SEC’s request for comment on its March 2022 proposed rules for the “Enhancement and Standardization of Climate-Related Disclosures for Investors” (the “Proposal”). The letter focuses on a single...
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Do Market-Wide Circuit Breakers Calm the Markets or Panic Them?
Li, Xiaoyang; Yao, Wenying - 2022
Market-wide circuit breakers (MWCBs), which halt trading for 15 minutes across all U.S. stock exchanges, were triggered four times in March 2020. We provide some of the first evidence on the effectiveness of MWCBs using tick data. Although MWCBs increase stocks’ realized volatility and quoted...
Persistent link: https://www.econbiz.de, ebvufind01.dmz1.zbw.eu/10013406497
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Comment Letter on SEC Climate Disclosure Proposal by 22 Law and Finance Professors
Cunningham, Lawrence A. - 2022
This comment letter, by a group of 22 professors of law and finance, expresses concern that the SEC’s recent proposal to impose extensive mandatory climate-related disclosure rules on public companies (the “Proposal”) exceeds the SEC’s authority. In addition, rather than provide...
Persistent link: https://www.econbiz.de, ebvufind01.dmz1.zbw.eu/10013406531
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What ESG-Related Disclosures Should the SEC Mandate?
Karpoff, Jonathan M.; Litan, Robert E.; Schrand, Catherine - 2022
As the U.S. Securities and Exchange Commission considers appropriate “ESG” disclosure mandates, the Financial Economist’s Roundtable contributes to the debate with a statement summarizing its policy discussion. The FER believes financial regulators should limit mandates to matters that...
Persistent link: https://www.econbiz.de, ebvufind01.dmz1.zbw.eu/10013406825
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