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Getting ready

Philippe Espinasse

in IPO: A Global Guide

Published in print:
2011
Published Online:
January 2012
ISBN:
9789888083183
eISBN:
9789882209862
Item type:
chapter
Publisher:
Hong Kong University Press
DOI:
10.5790/hongkong/9789888083183.003.0002
Subject:
Economics and Finance, South and East Asia

This chapter sets out the preparatory work needed for an initial public offering and explains the roles played by different professionals, including the company going public, the investment bank, and ... More


Charles E. Merrill: 1885–1956: The People’s Capitalist

Edward Morris

in Wall Streeters: The Creators and Corruptors of American Finance

Published in print:
2015
Published Online:
May 2016
ISBN:
9780231170543
eISBN:
9780231540506
Item type:
chapter
Publisher:
Columbia University Press
DOI:
10.7312/columbia/9780231170543.003.0005
Subject:
Business and Management, Business History

The chapter describes the life of Charles Merrill and the formation of Merrill Lynch.


Leviathan and the Investment Banks

Alan D. Morrison and William J. Wilhelm Jr.

in Investment Banking: Institutions, Politics, and Law

Published in print:
2007
Published Online:
May 2007
ISBN:
9780199296576
eISBN:
9780191712036
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199296576.003.0007
Subject:
Economics and Finance, Financial Economics

This chapter traces developments in the investment banking industry in the first half of the 20th century. It discusses the contemporary reasoning that led away from the minimal state and towards a ... More


Mutual Fund Disclosure and Related Fund Investor Protection Features

Joseph A. Franco

in Mutual Funds and Exchange-Traded Funds: Building Blocks to Wealth

Published in print:
2015
Published Online:
November 2015
ISBN:
9780190207434
eISBN:
9780190207465
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780190207434.003.0024
Subject:
Economics and Finance, Financial Economics

This chapter discusses the principal features of mutual fund disclosure regulation in the United States and the challenges faced by the SEC in designing a disclosure regime that meets the needs of ... More


When, Why, and How Do Mutual Fund Investors Use Financial Advisers?

Sarah A. Holden

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/9780199683772.003.0012
Subject:
Business and Management, Pensions and Pension Management

More than four in ten US households own mutual funds and half of mutual fund-owning households indicate they have ongoing advisory relationships. Financial advisers provide a wide range of investment ... More


Crowdfunding in social finance

Othmar M. Lehner

in Social Finance

Published in print:
2015
Published Online:
December 2015
ISBN:
9780198703761
eISBN:
9780191773013
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198703761.003.0017
Subject:
Business and Management, Innovation, Finance, Accounting, and Banking

This chapter examines crowdfunding, particularly as it relates to financing social enterprise. It suggests that crowdfunding offers a real opportunity to connect mass retail investors with social ... More


Regulating Consumer Finance

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/9780198786474.003.0010
Subject:
Law, Constitutional and Administrative Law, Company and Commercial Law

From an economic perspective, two related justifications can be distinguished for regulatory intervention vis-à-vis consumers or retail investors: asymmetries of information between consumers and the ... More


Uses of ETFs

Ananth N. Madhavan

in Exchange-Traded Funds and the New Dynamics of Investing

Published in print:
2016
Published Online:
August 2016
ISBN:
9780190279394
eISBN:
9780190279424
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780190279394.003.0007
Subject:
Economics and Finance, Financial Economics

This chapter covers how practitioners use ETFs for a diverse set of investment objectives. Both retail or institutional investors are increasingly using ETFs as vehicles for gaining exposure to broad ... More


Collateral Knowledge: Legal Reasoning in the Global Financial Markets

Annelise Riles

Published in print:
2011
Published Online:
February 2013
ISBN:
9780226719320
eISBN:
9780226719344
Item type:
book
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226719344.001.0001
Subject:
Economics and Finance, Financial Economics

Who are the agents of financial regulation? Is good (or bad) financial governance merely the work of legislators and regulators? Here the text argues that financial governance is made not just ... More


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