Works matching DE "SECURITIES policy"
Results: 49
Taking stock.
- Published in:
- China Business Review, 1997, v. 24, n. 1, p. 8
- By:
- Publication type:
- Article
Federal Securities Registration Issues for Stock Option Plans of Private Companies.
- Published in:
- Compensation & Benefits Review, 2001, v. 33, n. 5, p. 63, doi. 10.1177/08863680122098658
- By:
- Publication type:
- Article
Five Options for Idaho Businesses to Raise Capital Online.
- Published in:
- Advocate (05154987), 2016, v. 59, n. 9, p. 28
- By:
- Publication type:
- Article
Real Insider Trading.
- Published in:
- Washington & Lee Law Review, 2020, v. 77, n. 4, p. 1647
- By:
- Publication type:
- Article
Market Timing with Security Offering Regulations: Evidence from Private Placements of Chinese Listed Firms.
- Published in:
- Emerging Markets Finance & Trade, 2013, v. 49, p. 91, doi. 10.2753/REE1540-496X4902S205
- By:
- Publication type:
- Article
SEC monitoring of foreign firms’ disclosures in the presence of foreign regulators.
- Published in:
- Review of Accounting Studies, 2018, v. 23, n. 4, p. 1355, doi. 10.1007/s11142-018-9467-x
- By:
- Publication type:
- Article
Statements to the Congress.
- Published in:
- Federal Reserve Bulletin, 1996, v. 82, n. 1, p. 35
- By:
- Publication type:
- Article
Japanese Uncertainty in a Shift to IFRS.
- Published in:
- Financial Executive, 2013, v. 29, n. 6, p. 40
- By:
- Publication type:
- Article
The Investment Policy: Sarbanes-Oxley 'First Line of Defense'.
- Published in:
- Financial Executive, 2006, v. 22, n. 3, p. 59
- By:
- Publication type:
- Article
Pay Ratio Disclosure: A Final SEC Rule Laden with Controversy.
- Published in:
- CPA Journal, 2016, v. 86, n. 4, p. 52
- By:
- Publication type:
- Article
Financial reform and the enforcement problem.
- Published in:
- CATO Journal, 1993, v. 13, n. 2, p. 229
- By:
- Publication type:
- Article
How Independent is a 'Qualified Independent Underwriter'?
- Published in:
- Review of Business, 2009, v. 29, n. 2, p. 8
- By:
- Publication type:
- Article
Control, responsibility, and abdication: A dilemma of securities regulation.
- Published in:
- Journal of Corporation Law, 1992, v. 17, n. 3, p. 539
- By:
- Publication type:
- Article
Rule 19c-4: The death knell for dual-class capitalizations.
- Published in:
- Journal of Corporation Law, 1989, v. 15, n. 1, p. 1
- By:
- Publication type:
- Article
A NEW APPROACH TO THE INTRASTATE EXEMPTION: RULE 147 VS. SECTION 3(a)(11).
- Published in:
- California Law Review, 1974, v. 62, n. 1, p. 195, doi. 10.2307/3479825
- Publication type:
- Article
What drove the financial crisis? Structuring our historical understanding of a predictable evolutionary disaster.
- Published in:
- Business History, 2015, v. 57, n. 5, p. 716, doi. 10.1080/00076791.2014.975120
- By:
- Publication type:
- Article
THE NOTIONAL LEGISLATOR: THE AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION'S ROLE AS A LAW-MAKER.
- Published in:
- Federal Law Review, 2011, v. 39, n. 1, p. 1, doi. 10.1177/0067205x1103900101
- By:
- Publication type:
- Article
Regulatory Developments 2018.
- Published in:
- Business Lawyer, 2019, v. 74, n. 3, p. 839
- Publication type:
- Article
Annual Review of Federal Securities Regulation.
- Published in:
- Business Lawyer, 2019, v. 74, n. 3, p. 835
- By:
- Publication type:
- Article
The policy-making structure of European regulatory networks and the domestic adoption of standards.
- Published in:
- Journal of European Public Policy, 2011, v. 18, n. 6, p. 830, doi. 10.1080/13501763.2011.593311
- By:
- Publication type:
- Article
DECENTRALIZED PUBLIC LEDGER SYSTEMS AND SECURITIES LAW: NEW APPLICATIONS OF BLOCKCHAIN TECHNOLOGY AND THE REVITALIZATION OF SECTIONS 11 AND 12(A)(2) OF THE SECURITIES ACT OF 1933.
- Published in:
- Washington University Law Review, 2018, v. 95, n. 4, p. 955
- By:
- Publication type:
- Article
Making a success of Securities Financing Transactions Regulation.
- Published in:
- Journal of Securities Operations & Custody, 2018, v. 10, n. 3, p. 235, doi. 10.69554/sdmh6367
- By:
- Publication type:
- Article
The securities financing transaction regulation: Practical implications for the securities lending industry.
- Published in:
- Journal of Securities Operations & Custody, 2018, v. 10, n. 3, p. 227, doi. 10.69554/pjlr5811
- By:
- Publication type:
- Article
Commonwealth Regulation of the Securities Markets: Comments on the Proposals for a Co-operative Commonwealth-State Scheme.
- Published in:
- Australian Economic Review, 1976, v. 9, n. 4, p. 10, doi. 10.1111/j.1467-8462.1976.tb00982.x
- By:
- Publication type:
- Article
Rational Information Leakage.
- Published in:
- Management Science, 2014, v. 60, n. 11, p. 2762, doi. 10.1287/mnsc.2014.1975
- By:
- Publication type:
- Article
Regulating Investors Not Issuers: A Market-Based Proposal.
- Published in:
- California Law Review, 2000, v. 88, n. 2, p. 279, doi. 10.2307/3481225
- By:
- Publication type:
- Article
Information technology & the securities markets.
- Published in:
- Brookings Review, 1998, v. 16, n. 1, p. 26, doi. 10.2307/20080764
- By:
- Publication type:
- Article
Securities Regulation Reform and the Decline of Rights Offerings.
- Published in:
- Canadian Journal of Administrative Sciences (Canadian Journal of Administrative Sciences), 2001, v. 18, n. 2, p. 77, doi. 10.1111/j.1936-4490.2001.tb00246.x
- By:
- Publication type:
- Article
THE FOREIGN CORRUPT PRACTICES ACT IN THE ULTIMATE YEAR OF ITS DECADE OF RESURGENCE.
- Published in:
- Indiana Law Review, 2010, v. 43, n. 2, p. 389, doi. 10.18060/4041
- By:
- Publication type:
- Article
Political Connections and Minority-Shareholder Protection: Evidence from Securities-Market Regulation in China.
- Published in:
- Journal of Financial & Quantitative Analysis, 2010, v. 45, n. 6, p. 1391, doi. 10.1017/S0022109010000608
- By:
- Publication type:
- Article
Search in Asset Markets: Market Structure, Liquidity, and Welfare.
- Published in:
- American Economic Review, 2007, v. 97, n. 2, p. 198, doi. 10.1257/aer.97.2.198
- By:
- Publication type:
- Article
SEC RULE 10b-5: TIPPEE LIABILITY REVISITED.
- Published in:
- American Business Law Journal, 1984, v. 22, n. 3, p. 385
- By:
- Publication type:
- Article
SEC WANTS TO EXPAND "TEST THE WATERS".
- Published in:
- Strategic Finance, 2019, v. 100, n. 11, p. 15
- By:
- Publication type:
- Article
Dueling Over Corporate Tax Shelters.
- Published in:
- Strategic Finance, 2004, v. 86, n. 2, p. 18
- By:
- Publication type:
- Article
THE POLITICAL ECONOMY OF BOARD INDEPENDENCE.
- Published in:
- North Carolina Law Review, 2014, v. 92, n. 3, p. 855
- By:
- Publication type:
- Article
Capital-Market Effects of Securities Regulation: Prior Conditions, Implementation, and Enforcement.
- Published in:
- Review of Financial Studies, 2016, v. 29, n. 11, p. 2885, doi. 10.1093/rfs/hhw055
- By:
- Publication type:
- Article
FPA IN THE STATES.
- Published in:
- Journal of Financial Planning, 2000, v. 13, n. 5, p. 20
- Publication type:
- Article
Financial reform in Japan.
- Published in:
- Money Affairs, 1993, v. 6, n. 1, p. 17
- Publication type:
- Article
The Impact of the JOBS Act on Independent Film Finance.
- Published in:
- DePaul Business & Commercial Law Journal, 2014, v. 12, n. 2, p. 215
- By:
- Publication type:
- Article
Efficiency and Effectiveness in Securities Regulation: Comparative Analysis of the United States's Competitive Regulatory Structure and the United Kingdom's Single-Regulator Model.
- Published in:
- DePaul Business & Commercial Law Journal, 2008, v. 6, n. 2, p. 247
- By:
- Publication type:
- Article
ANOTHER ROLE FOR SECURITIES REGULATION: EXPANDING INVESTOR OPPORTUNITY.
- Published in:
- Fordham Journal of Corporate & Financial Law, 2011, v. 16, n. 4, p. 783
- By:
- Publication type:
- Article
ANALYST CONFLICTS OF INTERESTS: ARE THE NASD AND NYSE RULES ENOUGH?
- Published in:
- Fordham Journal of Corporate & Financial Law, 2003, v. 8, n. 1, p. 123
- By:
- Publication type:
- Article
The End of Mandatory Securities Arbitration?
- Published in:
- 2010
- By:
- Publication type:
- Essay
REGRESSION YIELD CURVES FOR U.S. GOVERNMENT SECURITIES.
- Published in:
- Management Science, 1966, v. 13, n. 4, p. B-168, doi. 10.1287/mnsc.13.4.B168
- By:
- Publication type:
- Article
Unintentional and Unbalanced Transparency.
- Published in:
- IEEE Software, 2011, v. 28, n. 5, p. 12, doi. 10.1109/MS.2011.112
- By:
- Publication type:
- Article
SEC announces new reporting rules for unregistered equity sales.
- Published in:
- CPA Journal, 1997, v. 67, n. 2, p. 71
- By:
- Publication type:
- Article
A second opinion on international accounting standards.
- Published in:
- CPA Journal, 1995, v. 65, n. 1, p. 50
- By:
- Publication type:
- Article
SEC concludes suits for aiding and abetting are out.
- Published in:
- CPA Journal, 1994, v. 64, n. 7, p. 8
- Publication type:
- Article
The Australian PPS reforms: what will the new system look like?
- Published in:
- Law & Financial Markets Review, 2010, v. 4, n. 4, p. 394, doi. 10.5235/175214410791942850
- By:
- Publication type:
- Article