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- All HBS Web
(270)
- News (64)
- Research (164)
- Multimedia (1)
- Faculty Publications (85)
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Investment management: industry resources
Company Strategy Get SEC filings (e.g., 10K), annual reports, and analyst reports. Create lists of competitors and potential employers based on industry, geography, size, transaction details, deal types, and more. See also... 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 Oct 2002
- News
Sam Hayes
committee, established by then SEC chair Arthur Levitt, to formulate best practices with regard to stockbrokers' activities and compensation. These were not legislative remedies, they were recommendations for voluntary standards of... View Details
Keywords: Garry Emmons
- 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
- 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
- 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
- Fast Answer
Building and Sustaining a Successful Enterprise
investors and service providers across the private investment lifecycle. LSEG Workspace - provides public and private company profiles and strong in company analyst reports, current and historical SEC filings. It also provides... 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
- 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
- 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
- Web
Private companies: fast growing | Baker Library
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 money. Form D filings contain: amount of money raised,... View Details
- 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
- 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
- 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
- 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
- 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 Jun 2002
- News
Books
While Enron made the headlines, Mills says, these other actors were culpable as well. The title of Mills' book derives from a comment made by former SEC chairman Arthur Levitt regarding the actions of teenager Jonathan Lebed who broke... View Details
Keywords: Nancy O. Perry
- 24 Oct 2017
- First Look
First Look at New Research and Ideas, October 24, 2017
their decision rights within firms, but managers can seek permission from the Securities and Exchange Commission (SEC) to dismiss proposals. We find that managers seek to exclude 39% of all proposals they receive, but the SEC does not... View Details
Keywords: Sean Silverthorne
- 01 Apr 1999
- News
A Random Sampling of HBS Graduates in the News
an odd experience for Kramer the journalist: SEC rules prohibited MarketWatch from covering its own much-anticipated debut - or even from running stories by other news media that might mention it - so as not to unfairly promote its stock.... View Details