U.S. laws and regulations applicable to research reports
This memorandum describes the approach of the U.S. Securities and Exchange Commission (the "SEC") in monitoring and, where appropriate, regulating the use of research reports by investment banking firms in connection with securities transactions. The memorandum addresses the historical system of regulation, which continues in large measure to apply. It also examines the new initiatives taken, following a number of prominent corporate, accounting and banking scandals and a significant decline in U.S. and international capital markets, to supplement the current system in what some have dubbed the "post-Enron era".
| Author: | Mark Devlin, Stephan Hutter |
|---|---|
| URN: | urn:nbn:de:hebis:30-7323 |
| Series (Serial Number) | Arbeitspapiere // Johann-Wolfgang-Goethe-Universität, Institut für Bankrecht (111) |
| Document Type: | Working Paper |
| Language: | English |
| Date of Publication (online): | 11.04.2005 |
| Year of first Publication: | 2003 |
| Publishing Institution: | Univ.-Bibliothek Frankfurt am Main |
| Source: | Institut für Bankrecht, Arbeitspapiere 111 |
| HeBIS PPN: | 203501691 |
| Institutes: | Rechtswissenschaft |
| Dewey Decimal Classification: | 340 Recht |
| Sammlungen: | Universitätspublikationen |
| Licence (German): |  Veröffentlichungsvertrag für Publikationen ohne Print on Demand |
