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  • 07 Apr 2023
  • Research & Ideas

When Celebrity ‘Crypto-Influencers’ Rake in Cash, Investors Lose Big

With limited regulatory enforcement and few gatekeepers, crypto influencers with large social-media audiences can move global markets with a single tweet. The most prominent, including celebrities like Kim Kardashian and Lindsay Lohan,... View Details
Keywords: by Kristen Senz
  • Web

The 20th Century Zeitgeist - Leadership

Majority "Me" generation Focus on training and fitness Income gap widens dramatically AIDS Influence: High 90 1990 s Internet "irrational exuberance" Antigovernment sentiment: Waco standoff; Oklahoma City bombing Influence: Medium-Low 1900 s 19 First significant View Details
  • Web

Charts & Statistics - Leadership

Oklahoma City bombing Influence: Medium-Low 1900 s 19 First significant enforcement of Sherman Antitrust Act Pure Food and Drug Act; breakup of beef trust Excise Tax imposed on corporations Tariff Act forces corporations to open their... View Details
  • 24 May 2004
  • Research & Ideas

When Reputation Trumps Regulation

governance. But in both cases regulatory oversight has little to do with the outcome. Professor Siegel recently participated in this Q&A. Ann Cullen: You make the case that the SEC has been unable to be the world's View Details
Keywords: by Ann Cullen
  • 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
  • 09 Apr 2024
  • News

To Serve and Protect the Markets

Every day, in her role as the director of the Atlanta Regional Office of the Securities and Exchange Commission (SEC), Nekia Hackworth Jones (MBA 2004) stands in the breach between the $100 trillion in securities traded on U.S. equity markets and the bad actors who... 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... View Details
Keywords: Sean Silverthorne
  • 13 Jan 2015
  • First Look

First Look: January 13

contribution to employment, I find that labor-intensive firms are less likely to be subject to an SEC enforcement action. Next, I show that labor-intensive firms are less likely to face an View Details
Keywords: Sean Silverthorne
  • 08 Jul 2002
  • What Do You Think?

Have We Carried the Concept of Alignment Too Far?

should have insured and enforced fairness and honest reporting." Many questions were raised about the level and form of compensation afforded U.S. business leaders today. Allen Roberts comments, "In sustainable, successful... View Details
Keywords: by James Heskett
  • 01 Oct 2002
  • News

Sam Hayes

increasing its budget and the resources for its enforcement arm and making surprise “inspections” much more frequent. Those who violate the law or SEC rules should be punished severely. Using fines is not... View Details
Keywords: Garry Emmons
  • 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 View Details
Keywords: Dina Gerdeman
  • 27 Jun 2017
  • First Look

First Look at New Research and Ideas, June 27

publicly listed firms ranges from comment letter (CL) reviews of firms’ reporting compliance to pursuing enforcement actions against violators. Prior literature finds that firm political connections (PC) negatively predict View Details
Keywords: Sean Silverthorne
  • 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
  • 31 Aug 2009
  • Research & Ideas

Why Competition May Not Improve Credit Rating Agencies

model). This model is used currently by a few of the smaller raters, but it has two main drawbacks. First, it relies heavily on the ability to enforce property rights to information that is very easy to spread. Second, it precludes wide... View Details
Keywords: by Martha Lagace; Financial Services
  • 14 Jun 2016
  • First Look

June 14, 2016

by leading multifaceted lives themselves. They can reward employees for the quality and results of their work rather than the time put into it. And they can enforce reasonable work hours, require vacations, and take other steps to protect... View Details
Keywords: Sean Silverthorne
  • 19 Jul 2011
  • First Look

First Look: July 19

opportunistic traders are local non-senior insiders, who come from geographically concentrated, poorly governed firms. Lastly, opportunistic traders are significantly more likely to have SEC enforcement... View Details
Keywords: Sean Silverthorne
  • 18 Jun 2013
  • First Look

First Look: June 18

wage comparisons affect firm policies on executive pay? This paper explores that question using a 1992 SEC proxy disclosure rule that mandated increased disclosure of executive pay. We argue that this rule differentially increased wage... View Details
Keywords: Anna Secino
  • 09 Dec 2008
  • First Look

First Look: December 9, 2008

PublicationsMediators in Position Auctions Authors:Itai Ashlagi, Dov Monderer, and Moshe Tennenholtz Publication:Games and Economic Behavior (forthcoming) Abstract A mediator is a reliable entity, which can play on behalf of agents in a given game. A mediator however... View Details
Keywords: Martha Lagace
  • 20 Nov 2012
  • First Look

First Look: November 20

their increased tendency to behave fairly. Read the paper: http://www.people.hbs.edu/mnorton/shaw et al.pdf Robust Enforcement Should Complement Voluntary Regulation Authors:Jodi L. Short and Michael W. Toffel Publication:Georgetown... View Details
Keywords: Sean Silverthorne
  • 01 Jun 2009
  • News

Too Big To Fail

inflated the housing bubble with cheap credit. And it scolds the SEC for allowing the credit rating agencies to operate like a cartel without competition or transparency, which led to disastrous ratings inflation. In short, “The economic... View Details
Keywords: Roger Thompson; federal bailouts; Credit Intermediation and Related Activities; Finance