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  • Search: subject_exact:"Securities law"
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Year of publication
Subject
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Wertpapierrecht 1,177 Securities law 1,108 Kapitalmarktrecht 304 Financial markets law 303 USA 264 United States 255 Financial market regulation 237 Finanzmarktregulierung 237 Financial supervision 230 Finanzmarktaufsicht 230 Wertpapierhandel 171 Securities trading 167 Deutschland 165 Germany 139 Corporate disclosure 120 Unternehmenspublizität 120 Regulierung 111 Regulation 109 Law enforcement 96 Rechtsdurchsetzung 96 EU countries 78 EU-Staaten 78 Wertpapier 75 Welt 70 World 70 Civil litigation 65 Zivilprozess 65 Corporate Governance 64 Securities 64 Corporate governance 62 Gesellschaftsrecht 59 Corporate law 55 Financial market 53 Finanzmarkt 53 Börsenkurs 52 Share price 52 Takeover 51 Übernahme 51 Börsengang 49 Initial public offering 49
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Online availability
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Free 373 Undetermined 187 CC license 6
Type of publication
All
Book / Working Paper 693 Article 506 Journal 11 Other 6
Type of publication (narrower categories)
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Article in journal 424 Aufsatz in Zeitschrift 424 Graue Literatur 127 Non-commercial literature 127 Aufsatz im Buch 73 Book section 73 Arbeitspapier 71 Working Paper 71 Hochschulschrift 54 Gesetz 43 Law 43 Thesis 32 Collection of articles of several authors 29 Sammelwerk 29 Amtsdruckschrift 25 Government document 25 Lehrbuch 16 Konferenzschrift 14 Aufsatzsammlung 11 Einführung 11 Bibliografie enthalten 7 Bibliography included 7 Quelle 7 Textbook 7 Conference paper 6 Conference proceedings 6 Konferenzbeitrag 6 Dissertation u.a. Prüfungsschriften 5 Kommentar 4 Glossar enthalten 3 Glossary included 3 Handbook 3 Handbuch 3 Mehrbändiges Werk 3 Multi-volume publication 3 Ratgeber 3 Systematic review 3 Übersichtsarbeit 3 Bibliografie 2 Case study 2
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Language
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English 925 German 221 Undetermined 40 Russian 8 French 5 Swedish 4 Hungarian 3 Italian 3 Polish 3 Spanish 3 Ukrainian 3 Dutch 2 Finnish 1 Romanian 1 Turkish 1
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Author
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Steinberg, Marc I. 12 Stulz, René M. 10 Brox, Hans 9 Flint, George 9 Donelson, Dain C. 8 López-de-Silanes, Florencio 8 Greenstone, Michael 7 Bartels, Boris 6 Cumming, Douglas J. 6 Ernoult, Julien 6 Oyer, Paul E. 6 Shleifer, Andrei 6 Vissing-Jørgensen, Annette 6 Yust, Christopher G. 6 Bhattacharya, Utpal 5 Daouk, Hazem 5 Grundfest, Joseph A. 5 La Porta, Rafael 5 Mahoney, Paul G. 5 Romano, Roberta 5 Anand, Anita 4 Binz, Oliver 4 Black, Bernard S. 4 Ferrell, Allen 4 Gande, Amar 4 Graham, John R. 4 Hazen, Thomas Lee 4 Himelrick, Richard G. 4 Jackson, Howell E. 4 Loss, Louis 4 Miller, Darius P. 4 Parrino, Richard J. 4 Polo, Andrea 4 Prigge, Stefan 4 Prilmeier, Robert 4 Rajgopal, Shivaram 4 Rehfeldt, Bernhard 4 Rodrigues, Usha 4 Walker, Donald A. <Jr.> 4 Xu, Wenming 4
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Institution
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International Monetary Fund (IMF) 19 International Monetary Fund 14 Bundesverband Öffentlicher Banken Deutschlands 12 National Bureau of Economic Research 6 USA / Securities and Exchange Commission 5 United States / Congress / House / Committee on Interstate and Foreign Commerce / Subcommittee on Commerce and Finance 5 United States / Congress / Senate / Committee on the Judiciary / Subcommittee to Investigate the Administration of the Internal Security Act and Other Internal Security Laws 5 Deutschland <Bundesrepublik> / Bundesminister der Finanzen 3 Europäische Kommission 3 Universität zu Köln 3 Institut für Internationales Recht des Spar-, Giro- und Kreditwesens 2 Internationaler Währungsfonds / Monetary and Capital Markets Department 2 Practising Law Institute <New York, NY> 2 The Wharton Financial Institutions Center 2 USA / General Accounting Office 2 United States 2 American Bar Association 1 American Bar Association / Committee on Federal Regulation of Securities 1 American Bar Association / Subcommittee on Annual Review 1 American Council on Public Affaires 1 American Enterprise Institute for Public Policy Research 1 Australien / National Companies and Securities Commission 1 Australien / Parliament / Joint Select Committee on Corporations Legislation 1 Chambre de commerce et d'industrie de Paris 1 Charles H. Dyson School of Applied Economics and Management, Cornell University 1 Committee of Wise Men on the Regulation of European Securities Markets 1 Consumer and Corporate Affairs 1 Costa Rica / Superintendencia General de Valores 1 DIRK - Deutscher Investor-Relations-Verband 1 Deutsch-Brasilianische Juristenvereinigung 1 Deutsche Börse AG 1 Deutsches Aktieninstitut 1 Dike Verlag 1 Duke University / School of Law 1 Duncker & Humblot 1 Ekonomiska forskningsinstitutet <Stockholm> 1 Erich Schmidt Verlag 1 Europäische Gemeinschaften / Kommission 1 Europäische Gemeinschaften / Rat 1 Finanzverlag 1
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Published in...
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The journal of investment compliance 98 The business lawyer 21 IMF Staff Country Reports 14 Journal of accounting & economics 11 Grundrisse des Rechts 9 Journal of financial economics 9 International review of law and economics 8 Journal of securities operations & custody 8 Municipal finance journal : the state and local financing and municipal securities advisor 8 Rock Center for Corporate Governance at Stanford University working paper series 8 IMF Working Papers 7 International banking and finance law series 7 Journal of accounting research 7 The journal of corporate accounting & finance 7 Untersuchungen über das Spar-, Giro- und Kreditwesen / B 7 Bank-Archiv : Zeitschrift für das gesamte Bank- und Börsenwesen : journal of banking and financial research 6 NBER working paper series 6 Northwestern journal of international law & business 6 Zeitschrift für Bank- und Kapitalmarktrecht : BKR 6 Discussion paper / Centre for Economic Policy Research 5 Europäische Hochschulschriften 5 Journal of international business law 5 Journal of international economic law 5 MiFID-Kompendium : praktischer Leitfaden für Finanzdienstleister 5 Modern financial techniques, derivatives and law 5 Review of accounting studies 5 Serial 5 SpringerLink / Bücher 5 The Harvard John M. Olin discussion paper series 5 The journal of corporate finance : contracting, governance and organization 5 Working paper / National Bureau of Economic Research, Inc. 5 Yale journal on regulation 5 Übernahmerecht in Praxis und Wissenschaft 5 Contemporary accounting research : the journal of the Canadian Academic Accounting Association 4 Finance research letters 4 Journal of accounting and public policy 4 The accounting review : a publication of the American Accounting Association 4 Zeitschrift für das gesamte Handelsrecht und Wirtschaftsrecht : ZHR 4 Accounting and finance 3 Bundesgesetzblatt 3
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Source
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ECONIS (ZBW) 1,157 RePEc 29 USB Cologne (EcoSocSci) 21 BASE 6 EconStor 2 Other ZBW resources 1
Showing 1 - 50 of 1,216
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Legal liability, institutional environment and audit pricing : insights from China's securities law revision
Zhang, Lu; Balia, Sophee Sulong Bin - In: International journal of economics and financial issues … 14 (2024) 6, pp. 46-54
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The effect of the federal judicial system on public enforcement : evidence from SEC enforcement actions
Jia, Yanrong - In: Journal of accounting research 63 (2025) 1, pp. 503-541
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The effect of securities litigation risk on firm value and disclosure
Donelson, Dain C.; Hutzler, Christian M.; Monsen, Brian R. - In: Contemporary accounting research : the journal of the … 41 (2024) 3, pp. 1785-1818
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Coping strategy of independent directors for job-fulfillment risk under different ownership types and enforced legal environments
Xin, Yu; Xin, Ying; Huang, Xinyi; Xu, Liping - In: China journal of accounting research : CJAR 17 (2024) 4, pp. 1-31
Ownership type, legal system evolution and their interaction significantly affect the incentives and behaviors of independent directors. We use the 2019 Securities Law revision as an exogenous shock to examine how state-owned enterprises (SOEs) versus non-SOEs and their independent directors...
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The rise of private equity continuation funds
Kastiel, Kobi; Nili, Yaron - 2024 - Draft November 2023
This Article provides the first comprehensive examination of an emerging practice within the private equity sector-continuation funds. Continuation funds break from the traditional private equity model by allowing sponsors to hold on to assets beyond the typical fund term and, instead of selling...
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Revisiting the stock market reactions to the private securities litigation against informational misconducts in China
Xu, Wenming; Wu, Zhicheng; Cai, Jianjun - 2024
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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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Quantifying the significance of circuit splits in petitions for certiorari : the case of securities fraud litigation
Grundfest, Joseph A. - 2024
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Reforming private securities litigation in China : does private enforcement by minority shareholders matter to corporate fraud?
Li, Lu; Zheng, Gaoping; Zhong, Angel - In: Finance research letters 64 (2024), pp. 1-12
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Detecting DeFi securities violations from token smart contract code
Trozze, Arianna; Kleinberg, Bennett; Davies, Toby - In: Financial innovation : FIN 10 (2024), pp. 1-35
Decentralized Finance (DeFi) is a system of fnancial products and services built and delivered through smart contracts on various blockchains. In recent years, DeFi has gained popularity and market capitalization. However, it has also been connected to crime, particularly various types of...
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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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Brief of Professor Joseph A. Grundfest as amicus curiae in support of petitioner
Grundfest, Joseph A. - 2024
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The SEC’s Use of Voluntary Disclosure for the Oversight of Mandatory Disclosure
Li, Kai; Rogo, Rafael; Tian, Xiaoli (Shaolee); Zhang, Ray - 2023
One key challenge of regulatory oversight is information asymmetry between the regulator and the regulated. We investigate this issue through a unique setting in which the SEC uses firms’ voluntary disclosures to bridge the information gap during their periodic reviews of mandatory...
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Crypto Securities : On the Risks of Investments in Blockchain Based Assets and the Dilemmas of Securities Regulation
Azgad-Tromer, Shlomit - 2023
Recent declarations and investigations by the Securities and Exchange Commission suggest that blockchain-based assets are potentially subject to regulation as securities under the Securities Act. This Article presents a systematic analysis of the risks and embedded costs of investments in...
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Whither the Event Study in Security Litigation?
Villanueva, Miguel - 2023
Of the eight Cammer-Krogman factors, only the empirical factor (an event study) is sufficient to determine cause and effect between new information and stock price reaction, a corollary of market efficiency, and a pre-requisite to certify a class in security litigation; but it is not necessary...
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The impact of legal nihilism on the Russian Federation security
Mrozek, Jacek Janusz; Soboń, Andrzej; Gawliczek, Piotr - In: European research studies 26 (2023) 4, pp. 354-372
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Special representative actions, the insurance value of audits, and investor protection : an empirical study based on the ruling against Kangmei Pharmaceutical Co. Ltd
Yang, Daoguang; Han, Hongling; Mao, Yidan; Liu, Siyi - In: China journal of accounting studies 11 (2023) 3, pp. 516-542
The ruling against the Kangmei Pharmaceutical Co., Ltd’s financial fraud was the first special representative action under China’s new Securities Law, serving as a milestone in investor protection in China. Exploiting the natural experiment provided by the ruling, we empirically test the...
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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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The Most Important Decision in Federal Securities Law - Texas Gulf Sulphur
Steinberg, Marc I. - 2023
Although decided 55 years ago, the Second Circuit’s decision in Texas Gulf Sulphur may be viewed as the most important case under the U.S. securities laws. The decision addressed several landmark issues, including insider trading, company disclosure obligations, and the concept of materiality....
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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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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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China and the rise of law-proof insiders
Fried, Jesse M.; Kamar, Ehud - 2020
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The markets in crypto-assets regulation (MICA) and the EU digital finance strategy
Zetzsche, Dirk; Annunziata, Filippo; Arner, Douglas W.; … - 2020
The European Commission published its new Digital Finance Strategy on 24 September 2020. One of the centrepieces of the Strategy is the draft Regulation on Markets in Crypto-Assets (MiCA), designed to provide a comprehensive regulatory framework for digital assets in the EU.With MiCA the EU...
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Uncertain regulations, definite impacts : the impact of the US securities and exchange commission's regulatory interventions on crypto assets
Saggu, Aman; Ante, Lennart; Kopiec, Kaja - In: Finance research letters 72 (2025), pp. 1-13
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Auditor political connections and SEC oversight
Krishnan, Jagan; Li, Meng; Park, Hyun Jong - 2025
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Mandatory securities arbitration's impermissibility under state corporate law : an analysis of the Johnson & Johnson shareholder proposal
Russell, Jacob Hale - 2019
Under New Jersey corporate law, may a corporation adopt a mandatory arbitration provision in its bylaws that would require shareholders to bring federal securities law claims via separate individual arbitration? The issue is squarely raised by a recent shareholder proposal at Johnson & Johnson,...
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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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Enforcement of Securities Laws in India : An Empirical Overview
Damle, Devendra; Zaveri, Bhargavi - 2022
The Securities and Exchange of Board of India (SEBI) is one of the most powerful regulators in India. As the regulator of one of the world's largest capital markets, it has a range of enforcement tools at its disposal, such as the imposition of monetary penalties, ordering the disgorgement of...
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Beyond Color-Blind National Security Law
Gathii, James Thuo - 2022
Unlike much of mainstream national security law scholarship, this chapter shows how critical approaches to national security law, especially by African Americans and Third World intellectuals, make the case that foreign affairs, colonialism, imperialism and race are closely and intimately...
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The role of law enforcement agencies in ensuring national and economic security of Ukraine
Nikitin, Anatolii; Vdovychenko, Oleksii; Beschastnyy, Victor - In: Baltic Journal of Economic Studies 8 (2022) 4, pp. 110-116
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The SEC’s Costly Power Grab : The Securities and Exchange Commission’s Climate Disclosure Risk Proposal Threatens an End-Run around Congress on Climate Policy
Morrison, Richard - 2022
In March 2022 the U.S. Securities and Exchange Commission (SEC) published a notice of proposed rulemaking titled “The Enhancement and Standardization of Climate-Related Disclosures for Investors” that would require public companies to make detailed public disclosures of their energy use and...
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Securities Law Precedents, Legal Liability, and Financial Reporting Quality
Franke, Benedikt; Huang, Allen; Li, Reeyarn Zhiyang; … - 2022
Using 321 circuit court rulings, we construct a measure that captures the within-country variation in courts’ attitudes toward securities law violations. Case-level analyses confirm that district courts heed home-circuit precedents and are more likely to dismiss pending cases when their home...
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The Ineluctable Modality of Securities Law : Why Fungible Crypto Assets Are not Securities
Cohen, Lewis; Strong, Greg; Lewin, Freeman; Chen, Sarah - 2022
Securities regulators in the United States have repeatedly asserted that most fungible blockchain-based crypto assets are clearly securities under current law. This perspective may at first seem understandable. Much of the interest in crypto assets to date has been driven by their investment...
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The Economic Consequences of Chinese Securities Law Amendments
Zhang, Yan; Hu, Pengbo - 2022
On December 28, 2019, the Chinese People's Congress amended the Securities Law. This amendment aims to strengthen the protection of investors and make it more in line with the current requirements of China's securities market. Taking A-share listed firms as a sample, we use the event study...
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Are there trade-offs with mandating timely disclosure of cybersecurity incidents? : evidence from state-level data breach disclosure laws
Ashraf, Musaib; Jiang, John Xuefeng; Wang, Isabel Yanyan - In: The Journal of finance and data science : JFDS 8 (2022), pp. 202-213
On March 23, 2022, the SEC proposed that firms publicly disclose their cybersecurity incidents within four days of discovery. In the U.S., state-level data breach disclosure laws require firms to disclose the occurrence of a data breach, with some mandating disclosure within a deadline while...
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Securities Litigation Event Studies in the COVID Volatility Regime
Feinstein, Steven Phillip; Villanueva, Miguel - 2022
Event studies play a central role in class action securities fraud litigation. Event studies are used to assess market efficiency, price impact, loss causation, and damages, all of which are essential elements of a securities fraud claim. However, a substantial increase in market-wide...
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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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The Information Content of Corporate Earnings : Evidence from the Securities Exchange Act of 1934
Binz, Oliver; Graham, John R. - National Bureau of Economic Research - 2022
We examine whether the Securities Exchange Act of 1934 increased the information content of corporate earnings disclosures. Prior research questions whether the Act improved disclosure quality but generally relies on long-window tests and yields mixed results. We focus on whether the Act...
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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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To Call a Donkey a Racehorse — The Fiduciary Duty Misnomer in Corporate and Securities Law
Steinberg, Marc I. - 2022
A recurrent theme in corporate law is the presence of directors and officers owing fiduciary duties of care and loyalty to the respective companies they serve. Although not as visible in the securities law setting, concepts of fiduciary duty-like obligations arise with some frequency. While the...
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Initial Coin Offerings and Extraterritorial Application of U.S. Securities Laws
Zhao, Freya (Fangheng) - 2022
Cryptocurrency transactions have grown exponentially since Satoshi Nakamoto published the Bitcoin White Paper on Halloween 2008. As of November 2021, the cryptocurrency market has transformed into an ecosystem with 14,710 tokens and $2.6 trillion market capitalization. The rise of initial coin...
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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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The Securities and Exchange Commission’s Rule on Issuance, Offering Platforms and Custody of Digital Assets
2022
A cryptocurrency is a digital currency created and designed to work as a medium of exchange through a computer network that does not depend on any central authority, such as government or bank, to uphold or maintain it. As a result of this, government around the world, regulatory agencies,...
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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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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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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...
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The information content of corporate earnings : evidence from the securities exchange act of 1934
Binz, Oliver; Graham, John R. - In: Journal of accounting research 60 (2022) 4, pp. 1379-1418
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The SEC's Misguided Climate Disclosure Rule Proposal
Cunningham, Lawrence A.; Bainbridge, Stephen M.; Berk, … - 2022
The following article adapts and consolidates two comment letters submitted last spring by a group of twenty-two professors of finance and law on the SEC’s proposed climate change disclosure rules. The professors reiterate their recommendation that the SEC withdraw its proposal as legally...
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