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Publications

Publications

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Filter Results: (270) Arrow Down Arrow Up

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  • All HBS Web  (270)
    • News  (64)
    • Research  (164)
    • Multimedia  (1)
  • Faculty Publications  (85)

Show Results For

  • All HBS Web  (270)
    • News  (64)
    • Research  (164)
    • Multimedia  (1)
  • Faculty Publications  (85)
← Page 10 of 270 Results →
  • 01 Jun 2012
  • News

IPA Meets IPO

As required, Koch told the SEC how many buyers he expected: 30,000. So when 100,000 people mailed in checks, Koch had to select 30,000 folks by lottery and return the others’ money. It was more than the financial equivalent of offering a... View Details
Keywords: beer; Beverage and Tobacco Product Manufacturing; Manufacturing; Merchant Wholesalers, Nondurable Goods; Wholesale Trade
  • 09 Apr 2024
  • News

To Serve and Protect the Markets

examinations, and business operations for five states: Georgia, North Carolina, South Carolina, Tennessee, and Alabama. Along with SEC headquarters in Washington, D.C., and 10 other regional offices, they are responsible for monitoring... View Details
Keywords: Margie Kelley
  • 28 Apr 2015
  • First Look

First Look: April 28

framework and focus on finding empirically testable strategies to mitigate unethical behavior.   Working Papers Government Preferences and SEC Enforcement By: Heese, Jonas Abstract—I examine whether political influence by the government... View Details
Keywords: Sean Silverthorne
  • 27 Jun 2017
  • First Look

First Look at New Research and Ideas, June 27

desirable for a principal seeking innovation. Publisher's link: https://www.hbs.edu/faculty/Pages/item.aspx?num=52780 forthcoming Journal of Accounting & Economics Is the SEC Captured? Evidence from Comment-Letter Reviews By: Heese,... View Details
Keywords: Sean Silverthorne
  • Fast Answer

Private companies: fast growing

Companies, Small Giants: Best Small Companies) Fortune Rankings (ex: 100 Fastest Growing Companies) Inc. 5000 FormDs.com  Nearly all startups and investment firms file Form Ds with the SEC when they raise... View Details
  • 26 Jun 2018
  • First Look

New Research and Ideas, June 26, 2018

Political Influence of Voters' Interests on SEC Enforcement By: Heese, Jonas Abstract—I examine whether political influence as a response to voters’ interest in employment levels is reflected in the enforcement actions of the Securities... View Details
Keywords: Dina Gerdeman
  • 08 Jul 2002
  • What Do You Think?

Have We Carried the Concept of Alignment Too Far?

Article In the past several weeks we have been treated to vastly restated earnings, the conviction of an entire accounting firm, and the baiting by congressional committees of witnesses drawn from the ranks of corporate managers. We are faced with the prospect of new... View Details
Keywords: by James Heskett
  • 31 Aug 2009
  • Research & Ideas

Why Competition May Not Improve Credit Rating Agencies

For example, having more raters gives the SEC more leeway to ban or punish a rater, because the SEC can do it without debilitating the financial markets. Q: How can business leaders improve the quality of... View Details
Keywords: by Martha Lagace; Financial Services
  • 05 Jul 2017
  • Research & Ideas

Are Stockbrokers Illegally Leaking Confidential Information to Favored Clients?

information from an SEC form The researchers also collected information from the Security and Exchange Commission’s Schedule 13D forms for the same time period. And here’s where the potentially shady broker activity starts to become... View Details
Keywords: by Carmen Nobel; Financial Services
  • 01 Sep 2010
  • News

Letters to the Editor

business administration cannot change the world. The recourse I see is to establish a level of supervision above the corporate world, either private sector or government. Of the two, only government is susceptible to opinion of mere citizens. The View Details
Keywords: Securities, Commodities, and Other Financial Investments; Finance
  • Fast Answer

Managing Global Operations

href="https://www.library.hbs.edu/services/learn-with-baker-library#" target="_blank">Learn with Baker Library Capital IQ Introduction.   Orbis Unique in the extent of companies covered, strong for non-US companies, industry ratios.   LSEG Workspace Current... View Details
  • 17 Aug 2022
  • News

To Serve and Protect the Markets

Jones and her staff in the SEC’s Atlanta office manage the enforcement, examinations, and business operations for five states: Georgia, North Carolina, South Carolina, Tennessee, and Alabama. Along with SEC headquarters in Washington,... View Details
Keywords: Margie Kelley
  • 01 Jan 2006
  • News

William H. Donaldson, MBA 1958

its history, Donaldson regarded it as an offer he couldn’t refuse. Soon after he arrived, the SEC tackled a scandal in the mutual funds industry. But his agenda was also filled with many other pressing items—refining and implementing the... View Details
  • 01 Apr 2002
  • News

Pamela Thomas Graham on September 11

was made to run emergency numbers for companies affected by the attacks on CNBC’s familiar stock market crawler. “Our mindset was to really focus on what the financial community needed,” she continues. “We talked with NYSE chairman and CEO Dick Grasso (96th AMP), View Details
Keywords: terrorism; leadership; television; news; stock market; decision making; Finance; News, Library, Internet, and Other Services; Information
  • 24 Feb 2014
  • News

A Capital Idea for Small Business

once the SEC makes its moves. It's the first time the pair has worked together. After they graduated from high school, Callaghan pursued undergraduate studies in economics at Harvard College. Two years after graduating, he entered HBS.... View Details
Keywords: Robert S. Benchley; crowd-funding; online communities; Finance; Securities, Commodities, and Other Financial Investments; Finance
  • 01 Mar 2006
  • News

End of Campaign Celebrated

the second, protagonist Anne Mulcahy, then COO of Xerox, copes with possible bankruptcy, an SEC investigation, and dwindling morale. An interdisciplinary group of senior faculty spent a year developing LCA to help students understand the... View Details
Keywords: Colleges, Universities, and Professional Schools; Educational Services
  • 01 Sep 2010
  • News

Reinventing the Annual Report

the SEC should require it. As we all try to come up with solutions to the problems of the planet, integrated reporting is one way to make sure that companies are part of the process. — HBS professor Robert G. Eccles is coauthor with... View Details
Keywords: Robert G. Eccles
  • 01 Dec 2008
  • News

Lesson from the Fall

accounting and SEC rules throughout that portion of the company where he had direct authority and accountability. Since Enron is certainly not the only company to have engaged in such gaming, the important question raised by this marker... View Details
Keywords: Malcolm S. Salter; Oil and Gas Extraction; Mining; Electric Power Generation, Transmission, Distribution; Utilities
  • 07 Nov 2016
  • Research & Ideas

Corporate Tax Strategies Mirror Personal Returns of Top Execs

were tax-minded based on their personal actions before the 8.8 percent increase took effect. Pérez Cavazos and Silva used the Execucomp database and SEC Form 4 filings to examine the positions and behavior of the top five executives of... View Details
Keywords: by Roberta Holland
  • 01 Jun 2012
  • News

Good as Our Word

And finally, how would the firm acquire status as a Nationally Recognized Statistical Rating Organization, an SEC designation that is considered a key “must-have” by many credit ratings customers? In the classroom, Becker says, students... View Details
Keywords: Maggie Starvish; Bond rating; Securities, Commodities, and Other Financial Investments; Finance
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