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Issuer Disclosure Regulation

John Armour, Dan Awrey, Paul Davies, Luca Enriques, Jeffrey N. Gordon, Colin Mayer, and Jennifer Payne

in Principles of Financial Regulation

Published in print:
2016
Published Online:
October 2016
ISBN:
9780198786474
eISBN:
9780191828782
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198786474.003.0008
Subject:
Law, Constitutional and Administrative Law, Company and Commercial Law

This chapter considers the rationale for, and scope and content of, mandatory disclosure obligations placed on firms issuing securities in capital markets. The explicit regulatory objective of issuer ... More


Company Information

Onnig H. Dombalagian

in Chasing the Tape: Information Law and Policy in Capital Markets

Published in print:
2015
Published Online:
September 2015
ISBN:
9780262028622
eISBN:
9780262324298
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262028622.003.0003
Subject:
Economics and Finance, Financial Economics

This chapter surveys the design of mandatory disclosure regimes for public company information under US securities law and EU capital markets directives. The chapter begins with an overview of the ... More


The Disclosure Regimen of the Federal Securities Laws

Marc I. Steinberg

in Rethinking Securities Law

Published in print:
2021
Published Online:
September 2021
ISBN:
9780197583142
eISBN:
9780197583173
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780197583142.003.0002
Subject:
Law, Company and Commercial Law

This chapter focuses on the disclosure framework of the federal securities laws. It explores the benefits as well as drawbacks of the current regimen and recommends measures that should be ... More


Corporate Law and Securities Markets

Luca Enriques, Gerard Hertig, Reinier Kraakman, and Edward Rock

in The Anatomy of Corporate Law: A Comparative and Functional Approach

Published in print:
2017
Published Online:
March 2017
ISBN:
9780198739630
eISBN:
9780191837982
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198739630.003.0009
Subject:
Law, Company and Commercial Law

This chapter focuses on the regulation of corporations as “issuers,” that is, as tools to raise finance from the public. All representative “core jurisdictions” have specific rules applying to the ... More


Using Basel II to Facilitate Access to Finance: The Disclosure of Internal Credit Ratings

Gérard Hertig

in Corporate Governance in Context: Corporations, States, and Markets in Europe, Japan, and the US

Published in print:
2005
Published Online:
March 2012
ISBN:
9780199290703
eISBN:
9780191700576
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199290703.003.0026
Subject:
Law, Company and Commercial Law

This chapter argues that it is possible to design a regulatory framework under which the benefits of mandatory rating disclosure clearly outweigh its costs, which in turn should minimize interest ... More


What the Securities Act Got Right

Paul G. Mahoney

in Wasting a Crisis: Why Securities Regulation Fails

Published in print:
2015
Published Online:
September 2015
ISBN:
9780226236513
eISBN:
9780226236650
Item type:
chapter
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226236650.003.0003
Subject:
Law, Legal History

The Securities Act as drafted did not contemplate or require disclosure of “all material facts.” Instead, if focused on disclosure of the financial interests of underwriters, promoters, corporate ... More


Two Applications

Eric W Orts

in Business Persons: A Legal Theory of the Firm

Published in print:
2013
Published Online:
September 2013
ISBN:
9780199670918
eISBN:
9780191749599
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199670918.003.0008
Subject:
Business and Management, Organization Studies

This chapter provides two practical applications of the legal theory of the firm elucidated in the book. One controversial issue addressed is executive compensation in corporations, which many ... More


Institutional Investor Voting Behaviour: A Network Theory Perspective

Luca Enriques and Alessandro Romano

in Theories of Choice: The Social Science and the Law of Decision Making

Published in print:
2021
Published Online:
February 2021
ISBN:
9780198863175
eISBN:
9780191895678
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198863175.003.0012
Subject:
Law, Company and Commercial Law

This chapter shows how network theory can improve our understanding of institutional investors’ voting behaviour and, more generally, their role in corporate governance. The standard idea is that ... More


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