TY  - UNPD
A1  - Devlin, Mark
A1  - Hutter, Stephan
T1  - U.S. laws and regulations applicable to research reports
T2  - Institut für Bankrecht (Frankfurt, Main): Arbeitspapiere ; Nr. 111
N2  - This memorandum describes the approach of the U.S. Securities and Exchange Commission (the "SEC") in monitoring and, where appropriate, regulating the use of research reports by investment banking firms in connection with securities transactions. The memorandum addresses the historical system of regulation, which continues in large measure to apply. It also examines the new initiatives taken, following a number of prominent corporate, accounting and banking scandals and a significant decline in U.S. and international capital markets, to supplement the current system in what some have dubbed the "post-Enron era".
T3  - Arbeitspapiere / Johann-Wolfgang-Goethe-Universität, Institut für Bankrecht - 111 
KW  - USA / Securities and Exchange Commission
Y1  - 2003
UR  - http://publikationen.ub.uni-frankfurt.de/frontdoor/index/index/docId/4769
UR  - https://nbn-resolving.org/urn:nbn:de:hebis:30-7323
UR  - http://www.jura.uni-frankfurt.de/42780841/arbeitspapiere
PB  - Institut für Bankrecht
CY  - Frankfurt am Main
ER  -