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Unusual trade or market manipulation? : how market abuse is detected by securities regulators, trading venues and self-regulatory organizations

Austin, Janet - In: Journal of financial regulation 1 (2015) 2, pp. 263-283

Persistent link: https://www.econbiz.de/10011731396

Litigating Crashes? Insights from Security Class Actions

Ni, Xiaoran - 2020

Investors tend to litigate large stock price declines, i.e., file “stock-drop lawsuits”. Enterprising plaintiffs' attorneys seek to take advantage of the stock market declines that have accompanied the COVID-19 outbreak in early 2020 by filing class action lawsuits. However, it is less clear...

Persistent link: https://www.econbiz.de/10012835166

Insider trading under trading ban regulation in China's A-share market

Zhu, Chafen; Wang, Li - In: China journal of accounting research : CJAR 8 (2015) 3, pp. 169-191

This study examines the effects of China’s 2008 trading ban regulation on the insider trading of large shareholders in … China’s A-share market. It finds no evidence of insider trading during the ban period (one month before the announcement of … a financial report), due to high regulation risk. However, the ban only constrains the profitability of insider trades …

Persistent link: https://www.econbiz.de/10011844464

Machine learning, market manipulation and collusion on capital markets : Why the “Black Box” matters

Azzutti, Alessio; Ringe, Wolf-Georg; Stiehl, Hans Siegfried - 2021

algorithmic market abuse, by taking an interdisciplinary stance between financial regulation, law & economics, and computational …

Persistent link: https://www.econbiz.de/10012587161

Price Discovery and Convergence in Fragmented Securities Markets

Clapham, Benjamin - 2016

This paper studies price discovery and price convergence in securities trading within a fragmented market environment where stocks are traded on multiple venues. Although alternative venues currently increase their market share, trading on these venues instantly dries out in case the dominant...

Persistent link: https://www.econbiz.de/10013004588

Securities Market Act

1993 - 2. print

Persistent link: https://www.econbiz.de/10000149465

High-frequency traders : a review of the challenges in registering them as dealers

Fitterman, Mark; Sandoval, Ignacio - In: The journal of investment compliance 15 (2014) 3, pp. 3-9

Persistent link: https://www.econbiz.de/10010428126

Heterogeneous effects of the SEC's Securities Offering Reform

Hemmings, Danial; Hodgkinson, Lynn; Wang, Qingwei - In: Economics letters 170 (2018), pp. 131-135

Persistent link: https://www.econbiz.de/10012019651

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

Persistent link: https://www.econbiz.de/10014266735

Information revelation through regulatory process : interactions between the SEC and companies ahead of the IPO

Lowry, Michelle; Michaely, Roni; Volkova, Ekaterina - 2019

The regulator plays an active role in the IPO process via its pre-IPO communications with firms, writing 3.8 comment letters per company. To evaluate the regulator's input, we analyze these communications between the SEC and firms using LDA-analysis and KL-divergence. Main topics of SEC concerns...

Persistent link: https://www.econbiz.de/10012101170