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Author : Anonim
Publisher : Unknown
Page : 288 pages
File Size : 40,8 Mb
Release : 2010
Category : Electronic
ISBN : UOM:39015090376719
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher : Unknown
Page : 294 pages
File Size : 51,7 Mb
Release : 2009
Category : Global Financial Crisis, 2008-2009
ISBN : STANFORD:36105050535181
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher : Unknown
Page : 341 pages
File Size : 48,7 Mb
Release : 2009
Category : Global Financial Crisis, 2008-2009
ISBN : OCLC:472181115
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher : Unknown
Page : 292 pages
File Size : 50,6 Mb
Release : 2009
Category : Global Financial Crisis, 2008-2009
ISBN : PURD:32754081209425
Author : United States Accounting Office
Publisher : Unknown
Page : 126 pages
File Size : 50,8 Mb
Release : 2004-04-05
Category : Electronic
ISBN : 1468003364
The equity listing standards of the three largest U.S. securities markets- the American Stock Exchange (Amex), Nasdaq Stock Market, Inc. (NASDAQ), and New York Stock Exchange (NYSE)-have received heightened attention as part of public and private efforts to restore investor confidence in the markets.1 Listing standards have been the focus of attention because they govern which companies can be listed for trading on a particular market and are intended in part to maintain public confidence in the markets. In its role as a self-regulatory organization (SRO), each market establishes and enforces the standards that companies must meet to be listed for trading.2 To oversee the effectiveness of the SROs' listing programs, the Securities and Exchange Commission (SEC), through its Office of Compliance Inspections and Examinations (OCIE), periodically inspects these programs and makes recommendations intended to improve them. Your ongoing interest in learning how the three largest SROs have addressed OCIE's recommendations for improving their listing programs, particularly those related to protecting investors, has broadened as listing standards have increasingly become the focus of solutions to challenges facing the markets.3 First, in response to the market turmoil resulting from the September 2001 terrorist attacks on the United States, NASDAQ, subject to SEC's oversight, implemented a rule that imposed a moratorium on enforcing its listing standards for bid price4 and market value of publicly held shares5 and subsequently implemented two additional rules that further relaxed its bid-price standard. These actions raised questions about how NASDAQ and SEC, in their regulatory roles, balanced the goal of market stability against that of investor protection. Second, the unexpected failures of several major corporations beginning in 2001 focused congressional and regulatory attention on improving issuers and SROs' corporate governance-that is, the way boards oversee management to ensure that organizations are well-run and shareholders are treated fairly.6 As agreed with your offices, we discuss the following in this report: (1) the status of OCIE's recommendations to the three largest SROs for improving their markets' equity listing programs, focusing on a recommendation intended to ensure early and ongoing public notification of issuers' noncompliance with continued listing standards; (2) the extent to which OCIE uses SROs' internal review reports in its inspection process;7 (3) SEC's oversight of NASDAQ's moratorium and subsequent bid-price rule changes and the listing status of the issuers directly affected by these
Author : United States Congress House of Represen
Publisher : Scholar's Choice
Page : 328 pages
File Size : 42,7 Mb
Release : 2015-02-14
Category : Electronic
ISBN : 1296013626
This work has been selected by scholars as being culturally important, and is part of the knowledge base of civilization as we know it. This work was reproduced from the original artifact, and remains as true to the original work as possible. Therefore, you will see the original copyright references, library stamps (as most of these works have been housed in our most important libraries around the world), and other notations in the work. This work is in the public domain in the United States of America, and possibly other nations. Within the United States, you may freely copy and distribute this work, as no entity (individual or corporate) has a copyright on the body of the work.As a reproduction of a historical artifact, this work may contain missing or blurred pages, poor pictures, errant marks, etc. Scholars believe, and we concur, that this work is important enough to be preserved, reproduced, and made generally available to the public. We appreciate your support of the preservation process, and thank you for being an important part of keeping this knowledge alive and relevant.
Author : Lawrence R. Klein,Viktoria Dalko,Michael H. Wang
Publisher : John Wiley & Sons
Page : 403 pages
File Size : 54,9 Mb
Release : 2012-04-25
Category : Business & Economics
ISBN : 9781118236864
A guide to curbing monopoly power in stock markets Engaging and informative, Regulating Competition in Stock Markets skillfully analyzes the impact of the recent global financial crisis on health and happiness, and uses this opportunity to put regulatory systems in perspective. Happiness is lost because of emotional and physical health deterioration resulting from the crisis. Therefore, the authors conclude that financial crisis prevention should be the focus of public policy. This book is the most comprehensive study so far on potential risks to the stock market, especially various forms of market manipulation that lead to mania and eventual crisis. Based on litigation cases from international stock markets, and borrowing multidisciplinary findings in the fields of finance, economics, accounting, media studies, criminology, legal studies, psychology, and medicine, this book is the first to provide thorough micro-level regulatory proposals rooted in financial reality. By focusing on securities trading, they apply antitrust measures to limiting monopolistic power that is used for the manipulation of investors' perception and monopolistic profit. These proposals are quantifiable, adjustable, inexpensive, and can be easily implemented by any securities regulating agency for real-time oversight and daily operations. The recommendations found here are intended to improve the fairness and transparency of the financial markets, thereby perfecting the market competition, protecting investors, stabilizing the market, and preventing crises Explores how avoiding crises can to contribute to a more scientific, health aware, and civilized economic and social development Written by a team of authors who have extensive experience in this dynamic field, including Nobel Laureate Lawrence R. Klein Since the founding of the first, organized stock exchange in Amsterdam 400 years ago, no systematic economic research results on stock markets have been implemented in stock market regulation around the world. Regulating Competition in Stock Markets aims to fill this void.
Author : United States. Congress,United States House of Representatives,Committee on Financial Services
Publisher : Createspace Independent Publishing Platform
Page : 326 pages
File Size : 48,7 Mb
Release : 2018
Category : Electronic
ISBN : 1983454141
Capital markets regulatory reform : strengthening investor protection, enhancing oversight of private pools of capital, and creating a national insurance office : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, October 6, 2009.
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher : Unknown
Page : 140 pages
File Size : 48,6 Mb
Release : 2010
Category : Business & Economics
ISBN : PURD:32754081267621
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher : Unknown
Page : 0 pages
File Size : 40,5 Mb
Release : 2009
Category : Global Financial Crisis, 2008-2009
ISBN : LCCN:2009438864
Author : United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Publisher : Unknown
Page : 580 pages
File Size : 42,6 Mb
Release : 2012
Category : Business & Economics
ISBN : MINN:31951D035565703
Author : Pieter Alexander van der Schee
Publisher : Eleven International Publishing
Page : 0 pages
File Size : 53,7 Mb
Release : 2011
Category : Securities
ISBN : 9089744568
Since the 17th century, when corporations started to finance their businesses by issuing securities to investors in the open market, the appearance of misleading prospectuses and/or intermediate information to the market has led regulators to promulgate preventive and repressive rules to mitigate such abuses. This occurred both during the South Sea Bubble (1719) and the Great Crash (1929). More recently, the series of corporate scandals (2002-2003) similarly resulted in pressure on regulators and gatekeepers to introduce enhanced investor protection and market regulation, coinciding with the already ongoing worldwide debate on corporate governance. This study focuses on a comparative analysis of the remarkably different regulatory responses that were established on both sides of the Atlantic Ocean. The book reveals the divergent regulatory policies that were followed to answer the question of whether investors should primarily be protected 'as shareholders' by corporate law or by securities law and market regulation. It offers a useful, analytical, comparative tool for evaluating current corporate and securities law, as well as for assessing the need for, and design of, new regulatory responses. The book will contribute to a better understanding of the key regulatory issues facing lawmakers today. History does not stop and a variety of new questions will ultimately emerge. It underscores that finding clear and efficient regulatory responses to new developments should start with a proper analysis of the aims and means of securities and corporate law.
Author : International Monetary Fund. Monetary and Capital Markets Department
Publisher : International Monetary Fund
Page : 85 pages
File Size : 42,7 Mb
Release : 2019-06-24
Category : Business & Economics
ISBN : 9781498321112
This Financial System Stability Assessment paper discusses that Canada has enjoyed favorable macroeconomic outcomes over the past decades, and its vibrant financial system continues to grow robustly. However, macrofinancial vulnerabilities—notably, elevated household debt and housing market imbalances—remain substantial, posing financial stability concerns. Various parts of the financial system are directly exposed to the housing market and/or linked through housing finance. The financial system would be able to manage severe macrofinancial shocks. Major deposit-taking institutions would remain resilient, but mortgage insurers would need additional capital in a severe adverse scenario. Housing finance is broadly resilient, notwithstanding some weaknesses in the small non-prime mortgage lending segment. Although banks’ overall capital buffers are adequate, additional required capital for mortgage exposures, along with measures to increase risk-based differentiation in mortgage pricing, would be desirable. This would help ensure adequate through-the cycle buffers, improve mortgage risk-pricing, and limit procyclical effects induced by housing market corrections.
Author : Masahiro Kawai,Eswar Prasad
Publisher : Brookings Institution Press
Page : 441 pages
File Size : 43,8 Mb
Release : 2011
Category : Business & Economics
ISBN : 9780815704898
"In the wake of the global financial crisis that began in 2008, offers a systematic overview of recent developments in regulatory frameworks in advanced and emerging-market countries, outlining challenges to improving regulation, markets, and access in developing economies"--Provided by publisher.
Author : United States. Securities and Exchange Commission
Publisher : Unknown
Page : 128 pages
File Size : 46,9 Mb
Release : 1963
Category : Foreign exchange
ISBN : LCCN:70008509