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Year of publication
Subject
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Wertpapierrecht 867 Securities law 798 USA 206 Kapitalmarktrecht 199 Financial markets law 198 United States 197 Deutschland 162 Germany 137 Financial market regulation 113 Finanzmarktregulierung 113 Wertpapierhandel 106 Securities trading 104 EU countries 79 EU-Staaten 79 Financial supervision 75 Finanzmarktaufsicht 75 Corporate disclosure 73 Unternehmenspublizität 73 Welt 59 World 59 Regulierung 58 Law enforcement 56 Rechtsdurchsetzung 56 Regulation 55 Gesellschaftsrecht 53 Corporate law 49 Takeover 48 Übernahme 48 Corporate Governance 44 Corporate governance 42 Theorie 41 Theory 41 Bankrecht 36 Börsengang 34 Initial public offering 34 Community law 33 Handelsrecht 33 Wertpapier 33 Banking law 32 EU-Recht 32
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Online availability
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Free 242 Undetermined 75
Type of publication
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Book / Working Paper 550 Article 340 Journal 11 Other 6
Type of publication (narrower categories)
All
Article in journal 264 Aufsatz in Zeitschrift 264 Graue Literatur 116 Non-commercial literature 116 Aufsatz im Buch 69 Book section 69 Arbeitspapier 62 Working Paper 62 Hochschulschrift 55 Gesetz 43 Law 43 Thesis 33 Collection of articles of several authors 28 Sammelwerk 28 Amtsdruckschrift 27 Government document 27 Lehrbuch 15 Konferenzschrift 12 Aufsatzsammlung 10 Einführung 10 Bibliografie enthalten 7 Bibliography included 7 Mehrbändiges Werk 7 Multi-volume publication 7 Quelle 7 Textbook 7 Conference proceedings 6 Dissertation u.a. Prüfungsschriften 5 Kommentar 4 Case study 3 Elektronischer Datenträger 3 Fallstudie 3 Glossar enthalten 3 Glossary included 3 Handbook 3 Handbuch 3 Ratgeber 3 Systematic review 3 Übersichtsarbeit 3 Bibliografie 2
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Language
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English 618 German 218 Undetermined 41 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. 10 Brox, Hans 9 Flint, George 9 Stulz, René M. 9 Greenstone, Michael 7 Bartels, Boris 6 Cumming, Douglas J. 6 Ernoult, Julien 6 Bhattacharya, Utpal 5 Daouk, Hazem 5 López-de-Silanes, Florencio 5 Shleifer, Andrei 5 Anand, Anita 4 Ferrell, Allen 4 Gande, Amar 4 Himelrick, Richard G. 4 Jackson, Howell E. 4 Knill, April M. 4 La Porta, Rafael 4 Loss, Louis 4 Mahoney, Paul G. 4 Miller, Darius P. 4 Oyer, Paul 4 Polo, Andrea 4 Prigge, Stefan 4 Prilmeier, Robert 4 Romano, Roberta 4 Vissing-Jorgensen, Annette 4 Becht, Marco 3 Black, Bernard S. 3 Bromberg, Alan R. 3 Donelson, Dain C. 3 Giovannini, Alberto 3 Hazen, Thomas Lee 3 Hess, Patrick 3 Hudson, Alastair 3 Hueck, Alfred 3 Klöhn, Lars 3 Lombardo, Davide 3 Lopez-de-Silanes, Florencio 3
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Institution
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International Monetary Fund (IMF) 19 International Monetary Fund 13 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 4 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 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 <Berlin> 1 Europäische Gemeinschaften / Kommission 1 Europäische Gemeinschaften / Rat 1 Finanzverlag 1 Finnland / Arvopaperikauppakomitea 1
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Published in...
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The journal of investment compliance 25 The business lawyer 21 IMF Staff Country Reports 13 Grundrisse des Rechts 9 Journal of financial economics 8 Municipal finance journal : the state and local financing and municipal securities advisor 8 IMF Working Papers 7 International banking and finance law series 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 International review of law and economics 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 / 2 5 Journal of accounting & economics 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 Rock Center for Corporate Governance at Stanford University working paper series 5 Serial 5 Working paper / National Bureau of Economic Research, Inc. 5 Übernahmerecht in Praxis und Wissenschaft 5 Journal of securities operations & custody 4 SpringerLink / Bücher 4 The Harvard John M. Olin discussion paper series 4 Yale journal on regulation 4 Zeitschrift für das gesamte Handelsrecht und Wirtschaftsrecht : ZHR 4 Bundesgesetzblatt / 1 3 Columbia journal of transnational law 3 Der Betrieb 3 Die Aktiengesellschaft : AG : Zeitschrift für deutsches, europäisches und internationales Aktien-, Unternehmens- und Kapitalrecht 3 Finanz-Betrieb : FB ; Zeitschrift für Unternehmensfinanzierung und Finanzmanagement 3 Fisher College of Business working paper series 3 IMF country report 3 Journal of financial regulation and compliance : an international journal 3 Juristische Lernbücher 3 Regulation : the Cato review of business and government 3
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Source
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ECONIS (ZBW) 849 RePEc 29 USB Cologne (EcoSocSci) 21 BASE 6 EconStor 2
Showing 1 - 50 of 907
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China and the rise of law-proof insiders
Fried, Jesse M.; Kamar, Ehud - 2020
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The role of law enforcement agencies in ensuring national and economic security of Ukraine
In: Baltic Journal of Economic Studies 8 (2022) 4, pp. 110-116
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Security token offerings
Lambert, Thomas; Liebau, Daniel; Roosenboom, Peter - In: Small business economics : an international journal 59 (2022) 1, pp. 299-325
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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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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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What ESG-Related Disclosures Should the SEC Mandate?
Karpoff, Jonathan M.; Litan, Robert; Schrand, Catherine M. - 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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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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Cross-border enforcement of securities laws and dividend payouts
Chen, Xiaoqi - 2022
Following the September 11, 2001 attacks, numerous countries signed a special nonbinding arrangement to enhance cross-border enforcement of securities laws. This agreement is the Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information...
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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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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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Mandatory securities arbitration's impermissibility under state corporate law : an analysis of the Johnson & Johnson shareholder proposal
Russell, Jacob Hale - 2019
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Three projects in the new law and finance
Awrey, Dan - In: Accounting, Economics, and Law : AEL ; a convivium 11 (2021) 1, pp. 9-25
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Section 29(b) of the Securities Exchange Act of 1934 : A Viable Remedy Awakened
Gruenbaum, Samuel H.; Steinberg, Marc I. - 2021
The purpose of this article is to analyze various questions that may arise when a complainant seeks relief under section 29(b). With the recent Supreme Court decisions restricting the reach, scope, and effect of the federal securities laws, injured parties frequently may find themselves without...
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Gamification in Securities Regulation
Tierney, James Fallows - 2021
Popular zero-commission stock trading apps like Robinhood innovate in user-experience design, featuring digital engagement practices and prompts that appeal to investors’ psychology and make it easy and fun to trade. These include leaderboards of popular stock, push notifications, and visual...
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Does the SEC Have Legal Authority to Adopt Climate-Change Disclosure Rules?
Vollmer, Andrew N. - 2021
The Securities and Exchange Commission is planning to propose new mandatory disclosure rules on climate change without further statutory authority from Congress. The purpose of this comment is to explain that the SEC does not currently have statutory authority to adopt such disclosure rules....
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Section 17(a) of the Securities Act of 1933 After Naftalin and Redington
Steinberg, Marc I. - 2021
In this article, the author analyzes two recent Supreme Court decisions involving the securities acts. The conclusions drawn from this analysis are that despite the Court's recent trend of restricting the scope of the federal securities laws, it is now possible for defrauded offerees and...
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Shapeshifting Securities
Couture, Wendy Gerwick - 2021
This essay demonstrates that, because of the flexible definition of “security,” certain interests have the potential to fall in and out of the definition, and thus in and out of securities regulation. This essay coins this potentiality “shapeshifting.” The phenomenon of shapeshifting...
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Legal Opinions in Securities Transactions
Rice, Darrel A.; Steinberg, Marc I. - 2021
During the last twenty years, the law concerning potential liability of attorneys for opinions that are rendered in securities transactions has changed significantly. The SEC and certain courts during the 1970s asserted that attorneys could be liable as aiders and abettors under the federal...
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Securities Law : Overview and Contemporary Issues
Newman, Neal; Trautman, Lawrence J. - 2021
This is not your grandfather’s SEC anymore. Rapid technological change has resulted in novel regulatory issues and challenges, as law and policy struggles to keep pace. The U.S. Securities and Exchange Commission (SEC) reports that “the U.S. capital markets are the deepest, most dynamic, and...
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Disclosure, Venture Capital and Entrepreneurial Spawning
Cumming, Douglas J.; Knill, April M. - 2021
Venture capital funds have been facing increasing regulatory scrutiny since the 2007 financial crisis, particularly with respect to calls for increased disclosure requirements. In this paper we examine the effect of more stringent securities regulation on the supply and performance of venture...
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Security Law, Regulation and Public Policy for Accounting Professionals
Bagby, John W. - 2021
The failed accounting “Cognitor” credential might have channeled accountancy into information security at the turn of the 21st Century. However, the accounting profession delayed this responsibility until recently: cybersecurity engagements, client confidentiality and attestations....
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State Secrets in the Hong Kong National Security Law
Tang, Zheng (Sophia); Huang, Xu - 2021
States have the interest to prevent unauthorized disclosure of state secrets or intelligence, which may jeopardize state security and essential interests. Nearly all countries have enacted specific domestic statutes or adopted relevant rules in their domestic laws regulating obtaining, retaining...
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The Emergence of State Securities Laws : Partly Sunny Skies for Investors
Steinberg, Marc I. - 2021
Recent judicial and regulatory developments suggest that investors in many states may enjoy greater protection under their applicable state securities and common laws than under the federal securities laws. This Article addresses the Securities and Exchange Commission’s and the states’...
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The Judicial and Regulatory Constriction of Section 16(b) of the Securities Exchange Act of 1934
Steinberg, Marc I.; Landsdale Jr., Daryl L. - 2021
The recently promulgated SEC rules and judicial precedent impacting upon the parameters of section 16(b) are the focus of this article. First, this work will address the issue of standing to sue under section 16(b), focusing on the ramifications of the recent Supreme Court decision in Gollust v....
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Temporary Securities Regulation
Krug, Anita K. - 2021
In times of crisis, including the 2020-21 global pandemic, the U.S. Securities and Exchange Commission (SEC) has engaged in a type of securities regulation that few scholars have acknowledged, let alone evaluated. Specifically, during recent market crises, the SEC has adopted rules that are...
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Securities market : laws and regulations
Bian, Jing (ed.) - 2023
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Indirect investor protection: the investment ecosystem and its legal underpinnings
Spamann, Holger - 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
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Gatekeeping in the Dark : SEC Control over Private Securities Litigation Revisited
Platt, Alexander I. - 2020
Companies targeted by SEC enforcement actions often face parallel private class actions under the federal securities laws based on the same underlying conduct. But when the SEC selects enforcement targets, negotiates settlements, and assesses its own performance, it is unclear whether or how the...
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Spillover Effects in Securities Litigation
Donelson, Dain C. - 2020
This study examines the spillover effect of securities litigation. Peers of the sued firm have negative three-day abnormal returns around case filings and continue underperforming over sixty trading days. Peers also improve financial reporting quality and change qualitative disclosure...
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Direito dos Valores Mobiliários - Capítulo 10 (Securities Law - Chapter 10)
Mattos Filho, Ary Oswaldo - 2020
Resumo: O presente trabalho, décimo capítulo do livro Direito dos Valores Mobiliários, publicado em 2015, trata dos títulos e contratos de investimento coletivo. Devido à técnica legislativa utilizada na redação original da Lei n. 6.385/76, que concedeu à CVM um campo de atuação...
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Direito dos Valores Mobiliários - Capítulo 9 (Securities Law - Chapter 9)
Mattos Filho, Ary Oswaldo - 2020
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Direito dos Valores Mobiliários - Capítulo 6 (Securities Law - Chapter 6)
Mattos Filho, Ary Oswaldo - 2020
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Regulation by Selective Enforcement : The SEC and Initial Coin Offerings
Park, James J. - 2020
In addressing the problem of unregistered sales of digital tokens through initial coin offerings (ICOs), the SEC has proceeded through a strategy we call Regulation by Selective Enforcement. Rather than impose penalties on a significant number of violators, the SEC has brought a small number of...
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Cross-Listings and the New World of International Capital : Another Look at the Efficiency and Extraterritoriality of Securities Law
Guseva, Yuliya - 2020
This Article examines the cumulative welfare effect of the application of the U.S. regulatory regime on foreign private issuers (FPI) and whether the extraterritorial reach of U.S. law creates unnecessary risks deterring crosslistings. To assess the deterrence effect and optimality of...
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The 'Reasonable Investor' of Federal Securities Law : Insights from Tort Law's 'Reasonable Person' & Suggested Reforms
Rose, Amanda M. - 2020
Federal securities law defines the materiality of corporate disclosures by reference to the views of a hypothetical “reasonable investor.” For decades the reasonable investor standard has been a flashpoint for debate — with critics complaining of the uncertainty it generates and defenders...
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Information Bundling and Securities Litigation
Bliss, Barbara A. - 2020
We examine two distinct forms of information bundling that can occur when a firm releases a restatement: “positive bundling,” the release of good news with the restatement, and “negative bundling,” the release of additional bad news. We use a triple differences testing approach to...
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Unternehmensfinanzierung durch Ausgabe von Kryptotoken : Besteuerung in Deutschland und in der Schweiz
Hötzel, David; Krüger, Fabian; Niermann, Marcus; … - 2020
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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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Cross-border enforcement of securities laws and dividend payouts
Chen, Xiaoqi; Tsang, Albert - In: The British accounting review : the journal of the … 54 (2022) 6, pp. 1-24
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What ESG-related disclosures should the SEC mandate?
Karpoff, Jonathan M.; Litan, Robert E.; Schrand, Catherine - In: Financial analysts journal : FAJ 78 (2022) 2, pp. 9-18
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Spillover effects in disclosure-related securities litigation
Donelson, Dain C.; Flam, Rachel W.; Yust, Christopher G. - In: The accounting review : a publication of the American … 97 (2022) 5, pp. 274-299
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Do IPOs bear more severe legal consequences of accounting misstatements?
Wu, Biyu - In: Journal of accounting and public policy 41 (2022) 3, pp. 1-22
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Is the SEC captured? : evidence from political connectedness and SEC enforcement actions
Khokhar, Abdul-Rahman; Shahriari, Hesam - In: Accounting and finance 62 (2022) 2, pp. 2725-2756
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Cryptocurrency and digital asset regulation
Meshulam, Deborah R. (ed.); Fluhr, Michael (ed.) - American Bar Association - 2022
Introduction to Blockchain-Based Assets / Michael Fluhr and Deborah Meshulam --Blockchain-Based Assets as Securities / Michael Fluhr and Deborah Meshulam -- CFTC Regulation of Blockchain-Based Assets / Daniel Nathan, Jonas Robison, and S. Chris Min -- 4 Federal Taxation of Virtual Currencies /...
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Securities laws and the choice between loans and bonds for highly levered firms
Prilmeier, Robert - 2019
In contrast to bonds, levered loans do not require SEC registration. We show that this distinction plays an important role in firms' choice between funding through loans and bonds and helps understand why the market share of cov-lite loans has increased so much. Compared to cov-heavy loans,...
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Securities Laws as Foreign Policy
Woody, Karen E. - 2019
The SEC was founded in 1934 and bestowed by Congress with a three-pronged mission: (a) protecting investors; (b) maintaining fair, orderly, and efficient markets; and (c) facilitating capital formation. Markedly absent from this congressional mandate is any administrative authority or charge to...
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The Effect of Enforcement Transparency : Evidence from SEC Comment-Letter Reviews
Duro, Miguel - 2019
This paper studies the effect of the public disclosure of the Securities and Exchange Commission (SEC) comment-letter reviews (CLs) on firms' financial reporting. We exploit a major change in the SEC's disclosure policy: in 2004, the SEC decided to make its CLs publicly available. Using a novel...
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