Works matching DE "SECURITIES policy"

Results: 49

ANOTHER ROLE FOR SECURITIES REGULATION: EXPANDING INVESTOR OPPORTUNITY.

Published in:

Fordham Journal of Corporate & Financial Law, 2011, v. 16, n. 4, p. 783

By:

Sethi, Jasmin

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:

Contoudis, Karen

Publication type:

Article

Japanese Uncertainty in a Shift to IFRS.

Published in:

Financial Executive, 2013, v. 29, n. 6, p. 40

By:

Burkholder, Steve

Publication type:

Article

The Investment Policy: Sarbanes-Oxley 'First Line of Defense'.

Published in:

Financial Executive, 2006, v. 22, n. 3, p. 59

By:

Saperstein, Richard

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:

Barns-Graham, Victoria;
Gullifer, Louise

Publication type:

Article

A second opinion on international accounting standards.

Published in:

CPA Journal, 1995, v. 65, n. 1, p. 50

By:

Gould, John D.

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

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:

Choi, Stephen

Publication type:

Article

THE POLITICAL ECONOMY OF BOARD INDEPENDENCE.

Published in:

North Carolina Law Review, 2014, v. 92, n. 3, p. 855

By:

VELIKONJA, URSKA

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:

Cao, Lihong;
Xia, Xinping;
Wang, Yixia

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:

Conard, Alfred F.

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:

Bayley, Karen D.

Publication type:

Article

How Independent is a 'Qualified Independent Underwriter'?

Published in:

Review of Business, 2009, v. 29, n. 2, p. 8

By:

Dempere, Juan M.

Publication type:

Article

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:

Cohen, Kalman J.;
Kramer, Robert L.;
Waugh, W. Howard

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:

Booch, Grady

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

Information technology & the securities markets.

Published in:

Brookings Review, 1998, v. 16, n. 1, p. 26, doi. 10.2307/20080764

By:

Wallman, Steven M.H.

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:

Jacobides, Michael G.

Publication type:

Article

Dueling Over Corporate Tax Shelters.

Published in:

Strategic Finance, 2004, v. 86, n. 2, p. 18

By:

BARLAS, STEPHEN

Publication type:

Article

The End of Mandatory Securities Arbitration?

Published in:

2010

By:

Gross, Jill I.

Publication type:

Essay

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:

Berkman, Henk;
Cole, Rebel A.;
Fu, Lawrence J.

Publication type:

Article

SEC WANTS TO EXPAND "TEST THE WATERS".

Published in:

Strategic Finance, 2019, v. 100, n. 11, p. 15

By:

Barlas, Stephen

Publication type:

Article

FPA IN THE STATES.

Published in:: Journal of Financial Planning, 2000, v. 13, n. 5, p. 20
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:

Rose, P.J.

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:

Lagos, Ricardo;
Rocheteau, Guillaume

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:

Bolin, Kelsey

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:

Maggetti, Martino;
Gilardi, Fabrizio

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:

Koehler, Mike

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:

Ursel, Nancy D.;
Trepanier, David J.

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:

Afterman, Allan B.

Publication type:

Article

SEC announces new reporting rules for unregistered equity sales.

Published in:

CPA Journal, 1997, v. 67, n. 2, p. 71

By:

Illiano, Gary

Publication type:

Article

Financial reform and the enforcement problem.

Published in:

CATO Journal, 1993, v. 13, n. 2, p. 229

By:

Garcia, Gillian

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:

Christensen, Hans B.;
Hail, Luzi;
Leuz, Christian

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:

Naughton, James P.;
Rogo, Rafael;
Sunder, Jayanthi;
Zhang, Ray

Publication type:

Article

Statements to the Congress.

Published in:

Federal Reserve Bulletin, 1996, v. 82, n. 1, p. 35

By:

Greenspan, Alan

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:

Sirkin, Michael S.;
Katz, Michael A.

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:

Subcommittee on Annual Review;
Committee on Federal Regulation of Securities

Publication type:

Article

SEC RULE 10b-5: TIPPEE LIABILITY REVISITED.

Published in:

American Business Law Journal, 1984, v. 22, n. 3, p. 385

By:

Fox, Karla Harbin

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:

Bottomley, Stephen

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:

Chaudry, Sahil

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:

Silvia, Joseph

Publication type:

Article

Rational Information Leakage.

Published in:

Management Science, 2014, v. 60, n. 11, p. 2762, doi. 10.1287/mnsc.2014.1975

By:

Indjejikian, Raffi;
Hai Lu;
Liyan Yang

Publication type:

Article

Taking stock.

Published in:

China Business Review, 1997, v. 24, n. 1, p. 8

By:

Chen, Ji;
Thomas, Stephen C.

Publication type:

Article

Five Options for Idaho Businesses to Raise Capital Online.

Published in:

Advocate (05154987), 2016, v. 59, n. 9, p. 28

By:

Couture, Wendy Gerwick

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:

Hide, Jo

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:

Oliver, Ed

Publication type:

Article

Real Insider Trading.

Published in:

Washington & Lee Law Review, 2020, v. 77, n. 4, p. 1647

By:

Perino, Michael A.

Publication type:

Article