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Raising the Stakes: The IASC Responds to IOSCO and the SEC

Kees Camfferman and Stephen A. Zeff

in Financial Reporting and Global Capital Markets: A History of the International Accounting Standards Committee, 1973-2000

Published in print:
2007
Published Online:
October 2011
ISBN:
9780199296293
eISBN:
9780191700767
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199296293.003.0010
Subject:
Business and Management, Finance, Accounting, and Banking

This chapter deals with relations with the outside world and their impact. It shows how the International Organization of Securities Commissions (IOSCO) occupied the centre stage in the International ... More


Harmonizing the Regulation of Financial Advisers

Arthur B. Laby

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/9780199683772.003.0013
Subject:
Business and Management, Pensions and Pension Management

When buying stocks, bonds, mutual funds, and other securities, individuals seeking advice typically turn to broker-dealers or investment advisers before they invest. In many cases, brokers and ... More


 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


Classification and Governance: Policy 1

Ruben Lee

in What is an Exchange?: Automation, Management, and Regulation of Financial Markets

Published in print:
2000
Published Online:
October 2011
ISBN:
9780198297048
eISBN:
9780191685309
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198297048.003.0012
Subject:
Business and Management, Finance, Accounting, and Banking, Political Economy

This chapter addresses the issue of how trading systems should be classified and governed. The chapter is composed of three sections. In the first, the criteria that the Securities and Exchange ... More


Regulation of Financial Markets

Hendrik S. Houthakker and Peter J. Williamson

in The Economics of Financial Markets

Published in print:
1996
Published Online:
November 2003
ISBN:
9780195044072
eISBN:
9780199832958
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/019504407X.003.0011
Subject:
Economics and Finance, Financial Economics

Most financial markets are highly competitive – there are hundreds or thousands of active traders and at any time and place prices vary only within a narrow range – the bid‐ask price spread. ... More


Beginning the Foundation

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/9780195336450.003.0002
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

Much of the foundation of mutual funds' success was laid early on, in the 1920s and 1930s–mutual funds' use, beginning with the first fund in 1924, of redeemable shares and a simple capital structure ... More


The Rise of Mutual Funds: An Insider's View

Matthew P. Fink

Published in print:
2008
Published Online:
January 2009
ISBN:
9780195336450
eISBN:
9780199868469
Item type:
book
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780195336450.001.0001
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

The book describes the developments that caused mutual funds to go from a virtually unknown financial product in the 1920s to the largest financial industry in the world today. It covers the ... More


Selling Hope, Selling Risk: Corporations, Wall Street, and the Dilemmas of Investor Protection

Donald C. Langevoort

Published in print:
2016
Published Online:
June 2016
ISBN:
9780190225667
eISBN:
9780190225698
Item type:
book
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780190225667.001.0001
Subject:
Economics and Finance, Financial Economics, Economic History

Today, in the midst of globalization, technological change, and economic anxiety, we have doubts about how well the task of investor protection is being performed, particularly by the Securities and ... More


Modernizing SEC Regulation

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/9780199753505.003.0010
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

This chapter discusses the modernization of mutual fund industry regulation. The explosive growth of and dramatic changes in the mutual fund industry during the 1980s and 1990s led the Securities and ... More


Wall Street Skirts Regulation

Kathleen C. Engel and Patricia A. McCoy

in The Subprime Virus: Reckless Credit, Regulatory Failure, and Next Steps

Published in print:
2011
Published Online:
April 2015
ISBN:
9780195388824
eISBN:
9780190258535
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:osobl/9780195388824.003.0011
Subject:
Business and Management, Political Economy

This chapter discusses how federal regulators contributed to the subprime crisis. Congress laid the groundwork back in 1999 and 2000, when it deregulated over-the-counter credit default swaps, which ... More


The United States of America

Jonathan P. Charkham

in Keeping Better Company: Corporate Governance Ten Years On

Published in print:
2008
Published Online:
October 2011
ISBN:
9780199243198
eISBN:
9780191697234
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199243198.003.0005
Subject:
Business and Management, Corporate Governance and Accountability, Strategy

This chapter is about the publicly held companies in the USA. Ever since independence the states have fought to limit the role of the Federal government. Wherever a company operates it may choose any ... More


Beginning the Foundation

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/9780199753505.003.0002
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

Many developments in recent years have contributed to mutual funds' success, including generally rising securities markets, a growing middle class, the creation of new types of funds and new ways to ... More


The Uncertain Path Towards a Single Global Standard

Kees Camfferman and Stephen A. Zeff

in Aiming for Global Accounting Standards: The International Accounting Standards Board, 2001–2011

Published in print:
2015
Published Online:
June 2015
ISBN:
9780199646319
eISBN:
9780191800719
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199646319.003.0015
Subject:
Business and Management, Finance, Accounting, and Banking, International Business

Following the financial crisis and personnel changes at the US SEC, the prospect of adoption of IFRSs in the United States began to fade. This brought other jurisdictions, which had formed their ... More


The Trading Scandals

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/9780199753505.003.0012
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

The record 1982–2000 bull market ended with a bubble in high-technology and telecom stocks, followed by a severe bear market and revelations of a number of major corporate and accounting scandals, ... More


Potentially Perverse Effects of Corporate Civil Liability

Samuel W. Buell

in Prosecutors in the Boardroom: Using Criminal Law to Regulate Corporate Conduct

Published in print:
2011
Published Online:
March 2016
ISBN:
9780814787038
eISBN:
9780814709375
Item type:
chapter
Publisher:
NYU Press
DOI:
10.18574/nyu/9780814787038.003.0004
Subject:
Law, Criminal Law and Criminology

This chapter examines the potentially adverse effects of corporate civil liability and the role of prosecutors in regulating corporate behavior. After considering the distinction between a criminal ... More


Updating Other Regulation

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/9780199753505.003.0011
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

As earlier chapters have made clear, mutual funds not only are subject to Securities and Exchange Commission regulation under the federal securities laws but also they must meet requirements imposed ... More


Differentiating Centralization and Overlap in Swap Regulation

Alejandro E. Camacho and Robert L. Glicksman

in Reorganizing Government: A Functional and Dimensional Framework

Published in print:
2019
Published Online:
January 2020
ISBN:
9781479829675
eISBN:
9781479811649
Item type:
chapter
Publisher:
NYU Press
DOI:
10.18574/nyu/9781479829675.003.0007
Subject:
Law, Constitutional and Administrative Law

This chapter explains how legislative changes to, and the broader commentary on, US derivatives regulation illustrate the value of parsing the overlap/distinct and centralization/decentralization ... More


A Single Listing Authority and Securities Regulator for the CMU and the Future of ESMA: Costs, Benefits, and Legal Impediments

Emilios Avgouleas and Guido Ferrarini

in Capital Markets Union in Europe

Published in print:
2018
Published Online:
July 2018
ISBN:
9780198813392
eISBN:
9780191851582
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198813392.003.0004
Subject:
Law, Company and Commercial Law, EU Law

This chapter proposes a system for EU centralization of scrutiny and approval of public offers of securities or of listing of companies mature enough to conduct an IPO or those that seek a listing ... More


The History of the CFTC

Alan N. Rechtschaffen

in Capital Markets, Derivatives and the Law: Evolution After Crisis

Published in print:
2014
Published Online:
May 2014
ISBN:
9780199971541
eISBN:
9780199361458
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199971541.003.0014
Subject:
Law, Company and Commercial Law

The Commodity Futures Trading Commission (CFTC) is an independent agency with exclusive jurisdiction over futures trading in all commodities. The CFTC’s mandate has been renewed and expanded several ... 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


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