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 Corporate Financial Reporting and Regulation in the United States

George J. Benston, Michael Bromwich, Robert E. Litan, and Alfred Wagenhofer

in Worldwide Financial Reporting: The Development and Future of Accounting Standards

Published in print:
2006
Published Online:
February 2006
ISBN:
9780195305838
eISBN:
9780199783342
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/0195305833.003.0004
Subject:
Economics and Finance, Financial Economics

This chapter reviews the rules governing financial disclosure by corporations in the United States. It begins with an overview of state regulation (which is still in force) and then turns to federal ... More


Wall Street Meets the New Deal (1930–35)

Charles R. Geisst

in Wall Street: A History

Published in print:
1999
Published Online:
November 2003
ISBN:
9780195130867
eISBN:
9780199871155
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/0195130863.003.0008
Subject:
Economics and Finance, Economic History, Financial Economics

The reaction from Washington to Wall Street woes. Hoover calls Senate investigation into market practices, Roosevelt wins White House, short selling depresses market, F. Pecora becomes lead counsel ... More


Use of Non-EU Ratings in the EU

Garcia Alcubilla and Ruiz del Pozo

in Credit Rating Agencies on the Watch List: Analysis of European Regulation

Published in print:
2012
Published Online:
May 2012
ISBN:
9780199608867
eISBN:
9780191739125
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199608867.003.0004
Subject:
Economics and Finance, Financial Economics, Macro- and Monetary Economics

Agencies domiciled in non-EU countries do not need to be registered in order to issue ratings on EU issuers or on securities offered in the EU. However, these ratings may not be used for regulatory ... More


Wasting a Crisis: Why Securities Regulation Fails

Paul G. Mahoney

Published in print:
2015
Published Online:
September 2015
ISBN:
9780226236513
eISBN:
9780226236650
Item type:
book
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226236650.001.0001
Subject:
Law, Legal History

This book argues that policy responses to financial crises are similar across time and place and are generally ineffective or counterproductive. Political actors, hoping to avoid blame for a ... More


Structuring Securities Regulation in the European Union: Lessons from the U.S. Experience

Donald C. Langevoort

in Investor Protection in Europe: Corporate Law Making, The MiFID and Beyond

Published in print:
2006
Published Online:
January 2009
ISBN:
9780199202911
eISBN:
9780191707964
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199202911.003.0017
Subject:
Law, Company and Commercial Law

Politics aside, the question of whether the EU should create an SEC is about the trade-offs between scale and accountability. This chapter considers that trade-off in the US context, with specific ... More


Completing the Foundation: The Investment Company Act

Matthew P. Fink

in The Rise of Mutual Funds: An Insider's View

Published in print:
2008
Published Online:
January 2009
ISBN:
9780195336450
eISBN:
9780199868469
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780195336450.003.0003
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

The Investment Company Act of 1940, the law that regulates mutual funds and other types of investment companies, is generally regarded as a model regulatory statute. The Act strikes a careful balance ... More


Completing the Foundation:The Investment Company Act

Matthew P. Fink

in The Rise of Mutual Funds: An Insider’s View

Published in print:
2011
Published Online:
January 2012
ISBN:
9780199753505
eISBN:
9780199918805
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199753505.003.0003
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

This chapter discusses the events leading up to the enactment of the Investment Company Act of 1940. Three questions are addressed. First, why, despite unanimous predictions to the contrary, did the ... More


Early Development

Matthew P. Fink

in The Rise of Mutual Funds: An Insider’s View

Published in print:
2011
Published Online:
January 2012
ISBN:
9780199753505
eISBN:
9780199918805
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199753505.003.0004
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

This chapter discusses the first thirty years of the modern mutual fund industry, 1940 to 1970, which witnessed an extremely strong stock market and a corresponding boom in mutual funds as they were ... More


Regulating Financial Planners: Assessing the Current System and Some Alternatives 1

Jason Bromberg and Alicia P. Cackley

in The Market for Retirement Financial Advice

Published in print:
2013
Published Online:
January 2014
ISBN:
9780199683772
eISBN:
9780191763359
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199683772.003.0014
Subject:
Business and Management, Pensions and Pension Management

This chapter reviews US federal and state regulation of financial planners, and it also addresses concerns related to consumer confusion over the standards of care that planners provide and the ... More


Transatlantic regulatory cooperation from a trade perspective: a case study in accounting standards

Joel P. Trachtman

in Transatlantic Regulatory Cooperation: Legal Problems and Political Prospects

Published in print:
2001
Published Online:
March 2012
ISBN:
9780198298922
eISBN:
9780191685545
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198298922.003.0013
Subject:
Law, Public International Law

This chapter analyses more specifically the inhibiting effect that regulatory diversity in accounting standards has had on international trade. It discerns in the contemporary state of the WTO, and ... More


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