Similar Search Results

Falling Short : Has the SEC’s Quest to Control Market Manipulation and Abusive Short Selling Come to an End or Has It Really Just Begun?

Ramirez, Richard E. - 2019

Despite continued attempts by regulators to curtail abusive short sales and increase transparency, the pattern and practice of fraudulent manipulation continues to proliferate and threaten the capitalization of a wide variety of issuers within the securities market. Identifying a meaningful...

Persistent link: https://www.econbiz.de/10012900322

What Drives Dodd-Frank Act Compliance Cost for Private Funds?

Kaal, Wulf A. - 2019

financial regulation under the Dodd-Frank Act brings increasing returns to scale. Private fund advisers' use of single versus …

Persistent link: https://www.econbiz.de/10012904175

Private Fund Disclosures Under the Dodd-Frank Act

Kaal, Wulf A. - 2016

Title IV of the Dodd-Frank Act requires the Securities and Exchange Commission (SEC) to collect sensitive proprietary information from private fund advisers. Prior studies suggest that the SEC's mandated collection of private fund data in Form PF created several core challenges for the private...

Persistent link: https://www.econbiz.de/10013006368

The Most Curious Rule Proposal in Securities and Exchange Commission History

Grundfest, Joseph - 2022

The Securities and Exchange Commission advertises itself as a disclosure-based agency that eschews merit regulation. It … regulation in a market that least requires merit regulation.This transition to merit regulation is fraught with peril. Once the … some forms of merit regulation but not others. The inevitable result is a more politicized agency that can no longer …

Persistent link: https://www.econbiz.de/10013289652

The Dark Side of Digital Financial Transformation : The New Risks of FinTech and the Rise of TechRisk

Buckley, Ross P. - 2020

Over the past decade a long-term process of digitization of finance has increasingly combined with datafication and new technologies including cloud computing, blockchain, big data and artificial intelligence in a new era of FinTech (“financial technology”). This process of digitization and...

Persistent link: https://www.econbiz.de/10012847054

Evolution of Debt Financing toward Less-Regulated Financial Intermediaries in the United States

Erel, Isil; Inozemtsev, Eduard - National Bureau of Economic Research - 2024

important are the distortions in the greater regulation of banks that differentially limit risk-taking across alternative … COVID-19 pandemic shock. We argue that tighter bank regulation has created incentives for nonbanks to increase their …

Persistent link: https://www.econbiz.de/10014486206

Extending financialisation and increasing fragility of the financial system

Iancu, Aurel - 2013

Financialisation is a complex and dynamic process of enlarging the monetary and financial relations in economy and society. This paper deals with the analysis of the financial market structure such as: the role and magnitude of financial sectors, the dynamics of the banking sector versus the...

Persistent link: https://www.econbiz.de/10010529060

Online Appendix for : 'Dissecting the Listing Gap: Mergers, Private Equity, or Regulation?'

Lattanzio, Gabriele - 2020

Section 1 presents tests for the hypothesis that shifts in technology and industry composition might have played a key role in causing the U.S. listing gap. We replicate our core analysis at the industry level and find no evidence that the dynamics of the number of listing is driven by industry...

Persistent link: https://www.econbiz.de/10012840195

Dissecting the Listing Gap : Mergers, Private Equity, or Regulation?

Lattanzio, Gabriele; Megginson, William L.; Sanati, Ali - 2021

The abnormal decline in the number of US public firms is often blamed on merger activity, private equity investments, and stock market regulations. We compare and quantify the effects of these channels on the evolution of the US listing gap in a unified framework. In the US, an extra 100 mergers...

Persistent link: https://www.econbiz.de/10013246937

Equity Solvency Capital Requirements : What Institutional Regulation Can Learn from Private Investor Regulation

Blitz, David - 2018

improve Solvency II regulation by aligning it with more sophisticated European regulation that is already in place for mutual …

Persistent link: https://www.econbiz.de/10012933061