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Securities Law (the Financial Instruments and Exchange Law)

Hiroshi Oda

in Japanese Law

Published in print:
2009
Published Online:
May 2009
ISBN:
9780199232185
eISBN:
9780191705335
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199232185.003.0014
Subject:
Law, Comparative Law

This chapter discusses Japanese securities law. Topics covered include the development of securities law in Japan; enactment of the Financial Instruments and Exchange Law (FIEL); goal, scope, and ... 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


Exchanges

Ruben Lee

in Running the World's Markets: The Governance of Financial Infrastructure

Published in print:
2011
Published Online:
October 2017
ISBN:
9780691133539
eISBN:
9781400836970
Item type:
chapter
Publisher:
Princeton University Press
DOI:
10.23943/princeton/9780691133539.003.0007
Subject:
Economics and Finance, Macro- and Monetary Economics

This chapter presents a series of case studies illustrating how specific exchanges have actually been governed in particular contexts. The following institutions and contexts are described in turn: ... More


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


 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


Governance: Law and Regulation

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/9780198297048.003.0009
Subject:
Business and Management, Finance, Accounting, and Banking, Political Economy

This chapter discusses the main factors that affect the governance of exchanges in American federal law and regulation. The chapter is composed of two sections. The first analyzes federal laws and ... 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


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


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 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


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


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


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


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


Regulatory Agencies

Raghvendra K. Singh and Shailendera K. Singh

in Law and Regulation of Public Offering of Corporate Securities

Published in print:
2016
Published Online:
October 2016
ISBN:
9780199466689
eISBN:
9780199087310
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199466689.003.0004
Subject:
Law, Company and Commercial Law

This chapter examines the regulatory agencies that administer and enforce securities laws on public offerings. Securities markets were, at the beginning, self-regulating with little or no state ... More


Did the SEC Improve Disclosure Practices?

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/9780226236650.003.0005
Subject:
Law, Legal History

The New York Stock Exchange imposed ongoing disclosure requirements for listed companies in the pre-SEC era. The Securities Exchange Act of 1934 was motivated by the view that these requirements were ... More


Creating the Institutional Foundations for a Market Economy

Joseph E. Stiglitz

in Law and Economics with Chinese Characteristics: Institutions for Promoting Development in the Twenty-First Century

Published in print:
2013
Published Online:
May 2013
ISBN:
9780199698547
eISBN:
9780191745522
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199698547.003.0003
Subject:
Economics and Finance, South and East Asia, Macro- and Monetary Economics

China’s sustained, high rate of economic growth over the last 30 years is unparalleled and reflects its exceptional combination of pragmatism and vision. Moving forward, China will need to focus on ... 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


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