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Regulating noisy short‐selling of troubled firms?
Ulibarri, Carlos A.; Florescu, Ionut; Eidsath, Joel M. - In: Journal of Financial Economic Policy 1 (2009) 3, pp. 227-245
and Exchange Commission banning naked “short‐selling” of specific financial stocks. The paper also considers the merits of … reinstating “uptick rule” 10a‐1, which prohibits short‐selling securities on a downtick. Design/methodology/approach – The paper … studies theoretical implications of short‐selling in a simple state‐claim model, reflecting varying amounts of short interest …
Persistent link: https://www.econbiz.de/10014866812
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SEC holds roundtable on securities lending/short selling
Campion, Kevin J.; Hirschfeld, Arik - In: Journal of Investment Compliance 11 (2010) 1, pp. 17-31
lending and short selling hosted by the Securities and Exchange Commission (SEC) on September 29‐30, 2009. Design … lending and potential regulatory solutions. Day two – short selling: Panel 1 – controls on “naked” short selling; Panel 2 … on the most important current regulatory issues related to securities lending and short selling.  …
Persistent link: https://www.econbiz.de/10014893330
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Private action as a remedy against market manipulation in the USA
Alkhamees, Ahmad - In: Journal of Financial Regulation and Compliance 20 (2012) 1, pp. 41-55
Purpose – The purpose of this paper is to examine the appropriateness and effectiveness of using the right of private action against perpetrators of market manipulation. Design/methodology/approach – The author examines legislation in the USA, which gives victims the right to pursue private...
Persistent link: https://www.econbiz.de/10014870206
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Regulation and subprime turmoil
Jain, Arvind K. - In: Critical perspectives on international business 5 (2009) 1/2, pp. 98-106
Purpose – The global economy has entered what appears to be a very serious financial crisis for reasons other than force majeure . While the current focus has to be on preventing a repeat of the Great Depression, efforts must also be made to understand why the crisis came about in the first...
Persistent link: https://www.econbiz.de/10014701719
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Summary of selected FINRA Regulatory Notices and Disciplinary Actions
Davis, Henry A. - In: Journal of Investment Compliance 9 (2008) 1, pp. 45-56
Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from October to December 2007 and a sample of disciplinary actions during that period. In July 2007, FINRA Regulatory Notices replaced NASD Notices...
Persistent link: https://www.econbiz.de/10014893257
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Summary of selected FINRA Regulatory Notices and disciplinary actions, April‐June 2008
Davis, Henry A. - In: Journal of Investment Compliance 9 (2008) 3, pp. 52-74
Purpose – The purpose of this paper is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from April to June 2008 and a sample of disciplinary actions during that period. Design/methodology/approach – The paper provides excerpts from...
Persistent link: https://www.econbiz.de/10014893276
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Summary of selected FINRA regulatory notices, July‐August 2008
Davis, Henry A. - In: Journal of Investment Compliance 9 (2008) 4, pp. 79-91
Supplement to the Options Disclosure Document; Regulatory Notice 08‐38, SEC Emergency Orders on Short Selling; Regulatory Notice … Orders and Guidance in Regulatory Notice 08‐38 address the naked short selling of the securities of 19 public companies …
Persistent link: https://www.econbiz.de/10014893287
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Summary of selected FINRA regulatory notices and disciplinary actions July‐August 2009
Davis, Henry A. - In: Journal of Investment Compliance 10 (2009) 4, pp. 65-83
Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) regulatory notices and disciplinary actions issued in July and August 2009 and a sample of disciplinary actions during that period. Design/methodology/approach – The paper...
Persistent link: https://www.econbiz.de/10014893289
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Summary of selected FINRA regulatory notices, September‐November 2008
Davis, Henry A. - In: Journal of Investment Compliance 10 (2009) 1, pp. 61-71
Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) regulatory notices issued from September to November 2008. Design/methodology/approach – The paper provides excerpts from FINRA Regulatory Notice 08‐54, Guidance on...
Persistent link: https://www.econbiz.de/10014893296
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Summary of selected FINRA Regulatory Notices, April‐June 2009
Davis, Henry A. - In: Journal of Investment Compliance 10 (2009) 3, pp. 58-72
Purpose – The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices and Disciplinary Actions issued from April to June 2009 and a sample of disciplinary actions during that period. Design/methodology/approach – The paper...
Persistent link: https://www.econbiz.de/10014893315