U.S. laws and regulations applicable to research reports
- 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".
| Author: | Mark Devlin, Stephan Hutter |
|---|---|
| URN: | urn:nbn:de:hebis:30-7323 |
| URL: | http://www.jura.uni-frankfurt.de/42780841/arbeitspapiere |
| Parent Title (German): | Institut für Bankrecht (Frankfurt, Main): Arbeitspapiere ; Nr. 111 |
| Series (Serial Number): | Arbeitspapiere / Johann-Wolfgang-Goethe-Universität, Institut für Bankrecht (111) |
| Publisher: | Institut für Bankrecht |
| Place of publication: | Frankfurt am Main |
| Document Type: | Working Paper |
| Language: | English |
| Year of Completion: | 2003 |
| Year of first Publication: | 2003 |
| Publishing Institution: | Universitätsbibliothek Johann Christian Senckenberg |
| Release Date: | 2005/04/11 |
| GND Keyword: | USA / Securities and Exchange Commission |
| Page Number: | 22 |
| HeBIS-PPN: | 203501691 |
| Institutes: | Rechtswissenschaft / Rechtswissenschaft |
| Dewey Decimal Classification: | 3 Sozialwissenschaften / 33 Wirtschaft / 330 Wirtschaft |
| 3 Sozialwissenschaften / 34 Recht / 340 Recht | |
| Licence (German): |  Deutsches Urheberrecht |
