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Regulatory Systemic Risk in US Securities Regulation
Pichhadze, Aviv - 2011
securities regulation. The discussion offers two theses: one descriptive and the other normative. Descriptively, drawing on … institutional approaches to the study of regulation, I show how regulatory systemic risk emerges in the US securities regulatory …
Persistent link: https://www.econbiz.de/10013128555
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Discussion of "an integrated framework for multiple financial regulations"
Adrian, Tobias - 2012
A 2012 paper by Goodhart, Kashyap, Tsomocos, and Vardoulakis (GKTV) proposes a dynamic general equilibrium framework that provides a conceptual - and to some extent quantitative - framework for the analysis of macroprudential policies. The distinguishing feature of GKTV's paper relative to any...
Persistent link: https://www.econbiz.de/10009669924
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Securities regulators' overlapping priorities provide guidance for examination preparation
Nathan, Daniel A.; Marshall, Elizabeth - In: The journal of investment compliance 18 (2017) 1, pp. 15-18
Persistent link: https://www.econbiz.de/10011662048
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The municipal advisor regulatory framework : where we are and where to next
Lanza, Ernesto - In: The journal of investment compliance 18 (2017) 1, pp. 53-57
Persistent link: https://www.econbiz.de/10011662083
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Political connections,SEC enforcement and accounting quality
Correia, Maria M. - 2009
In this study, I examine whether firms and executives with long-term political connections through contributions and lobbying incur lower costs from the enforcement actions by the Securities and Exchange Commission (SEC). I find that politically connected firms on average are less likely to be...
Persistent link: https://www.econbiz.de/10009506974
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MiFID, Reg NMS and Competition Across Trading Venues in Europe and United States
Petrella, Giovanni - 2009
US regulation with respect to the best execution duty, the consolidation of market data and the disclosure of execution …
Persistent link: https://www.econbiz.de/10013157508
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Regulation of securities, markets, and transactions : a guide to the new environment
Collins, Patrick S. - 2011
securities transactions. The book defines, describes, and explains U.S. securities regulation. The book will be current as of the … include: Regulation; Accounting and Auditing; Introduction to Notes; Notes; Sections of Public Laws; Sections of Codified … securities transactions. The book defines, describes, and explains U.S. securities regulation. The book will be current as of the …
Persistent link: https://www.econbiz.de/10008860311
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Securities and Exchange Commission announces enforcement initiative directed at reporting violations by public company insiders
Parrino, Richard J.; Romeo, Peter; Dye, Alan - In: The journal of investment compliance 16 (2015) 1, pp. 19-24
Persistent link: https://www.econbiz.de/10011344593
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SEC adopts new financial responsibility and reporting requirements for US-registered broker-dealers
Curzon, Elliott; Wingler, Jeanette - In: The journal of investment compliance 14 (2013) 4, pp. 38-43
Persistent link: https://www.econbiz.de/10010229670
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SEC adopts rule to implement Dodd-Frank CEO pay ratio disclosure requirement
Parrino, Richard J. - In: The journal of investment compliance 17 (2016) 1, pp. 122-130
Persistent link: https://www.econbiz.de/10011523789