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- All HBS Web (1,284)
- Faculty Publications (342)
- October 2003 (Revised January 2004)
- Background Note
Online Securities Trading in Japan
By: Lynda M. Applegate, Jamie Ladge, Haruki Umezawa and Masako Egawa
Provides an overview of the Japanese securities industry and discusses how the online trading/brokerage industry grew as a result of deregulation of financial markets and penetration of the Internet in Japan. Describes major players in the online industry--Matsui... View Details
Keywords: Internet and the Web; Competitive Strategy; Emerging Markets; Financial Markets; Business Strategy; Financial Instruments; Globalized Markets and Industries; Internet and the Web; Japan
Applegate, Lynda M., Jamie Ladge, Haruki Umezawa, and Masako Egawa. "Online Securities Trading in Japan." Harvard Business School Background Note 804-054, October 2003. (Revised January 2004.)
- January 2012
- Background Note
The Market for Energy: Scale, Cost, Security and the Environment (A)
By: Joseph L. Bower and Michael Norris
- February 2017
- Case
Securities Exchange Board of India: Developing and Regulating India's Capital Markets
By: Suraj Srinivasan and Radhika Kak
Srinivasan, Suraj, and Radhika Kak. "Securities Exchange Board of India: Developing and Regulating India's Capital Markets." Harvard Business School Case 117-049, February 2017.
- January 2019 (Revised November 2019)
- Case
Ajeej Capital: Investing in Emerging Markets
By: Luis M. Viceira and Eren Kuzucu
In October 2007, Tarek Sakka and Fouad Dajani launched Ajeej Capital, the first independent investment advisory in the MENA region. Fittingly named ajeej, an Arabic word that translates to “growth and propagation in a chaotic setting,” the firm’s AUM grew from $20... View Details
Keywords: Security Selection; Investments; Growth; Culture; UAE; Finance; Asset Management; Emerging Markets; Capital Markets; Investment; Growth Management; Risk Management; Middle East; Saudi Arabia; Dubai; United Arab Emirates; Egypt; North Africa
Viceira, Luis M., and Eren Kuzucu. "Ajeej Capital: Investing in Emerging Markets." Harvard Business School Case 219-029, January 2019. (Revised November 2019.)
- October 2019
- Teaching Note
Securities Exchange Board of India: Developing and Regulating India's Capital Markets
By: Suraj Srinivasan and Jonah S. Goldberg
- February 1986 (Revised September 1994)
- Case
Travelers Mortgage Securities CMO
Describes a series of collateralized mortgage obligations offered by Travelers Insurance. Provides a general description of the life insurance business and the role of life insurance in the capital markets. Also describes a variety of mortgage related instruments,... View Details
Mason, Scott P. "Travelers Mortgage Securities CMO." Harvard Business School Case 286-061, February 1986. (Revised September 1994.)
- June 1984 (Revised March 1993)
- Background Note
Securities Law and Public Offerings
By: Howard H. Stevenson and Michael J. Roberts
Describes the relevant securities laws which pertain to the public offering of securities, as well as the business issues and process of a public offering. View Details
Keywords: Laws and Statutes; Capital Markets; Initial Public Offering; Public Administration Industry
Stevenson, Howard H., and Michael J. Roberts. "Securities Law and Public Offerings." Harvard Business School Background Note 384-165, June 1984. (Revised March 1993.)
- March 1992 (Revised December 1992)
- Case
Salomon and the Treasury Securities Auction
By: Dwight B. Crane
Set in June 1991, two months prior to Salomon Brothers' announcement that the firm had violated the Treasury Department's rules governing the auctions of new Treasury securities. Salomon Vice Chairman John Meriwether must decide how to address problems that continue to... View Details
Keywords: Debt Securities; Managerial Roles; Ethics; Market Transactions; Bonds; Investment Banking; Crisis Management; Auctions; Legal Liability; Banking Industry
Crane, Dwight B. "Salomon and the Treasury Securities Auction." Harvard Business School Case 292-114, March 1992. (Revised December 1992.)
- 01 Sep 2007
- News
Getting Security Right
MILLS: Many business leaders do not know enough about markets and business practices abroad. In his many years of teaching and research on the topic of leadership, HBS professor emeritus D. Quinn Mills developed a “natural concern” about... View Details
- July 1997
- Case
Treasury Inflation-Protection Securities (TIPS)
Explores the development of a new product offering based on the first issuance of "real" bonds in the United States. Looks at a specific organization's efforts to position itself to profit from this market development. Follows naturally from a case on nominal bonds. View Details
Das, Sanjiv R., and Jeffrey T. Slovin. "Treasury Inflation-Protection Securities (TIPS)." Harvard Business School Case 298-017, July 1997.
- March 2009 (Revised September 2011)
- Case
UBS and Auction Rate Securities (A)
By: Daniel Baird Bergstresser, Shawn A. Cole and Siddharth Bhaskar Shenai
UBS, a global financial services company, must decide whether to continue to support the market for Auction Rate Securities in the face of a growing financial crisis. These instruments, underwritten by UBS, were marketed to clients as highly liquid and safe... View Details
Keywords: Cost vs Benefits; Financial Crisis; Asset Pricing; Financial Liquidity; Financial Instruments; Government Legislation; Risk and Uncertainty; Financial Services Industry
Bergstresser, Daniel Baird, Shawn A. Cole, and Siddharth Bhaskar Shenai. "UBS and Auction Rate Securities (A)." Harvard Business School Case 209-119, March 2009. (Revised September 2011.)
- May 2009
- Teaching Note
F-Secure Corporation: Software as a Service (SaaS) in the Security Solutions Market (TN)
By: Lynda M. Applegate, Robert D. Austin, Kalle Lyytinen, Esko Penttinen and Timo Saarinen
Teaching Note for [809099]. View Details
- Oct 2020
- Conference Presentation
Optimal, Truthful, and Private Securities Lending
By: Emily Diana, Michael J. Kearns, Seth Neel and Aaron Leon Roth
We consider a fundamental dynamic allocation problem motivated by the problem of securities lending in financial markets, the mechanism underlying the short selling of stocks. A lender would like to distribute a finite number of identical copies of some scarce resource... View Details
Diana, Emily, Michael J. Kearns, Seth Neel, and Aaron Leon Roth. "Optimal, Truthful, and Private Securities Lending." Paper presented at the 1st Association for Computing Machinery (ACM) International Conference on AI in Finance (ICAIF), October 2020.
- September 2021 (Revised October 2022)
- Supplement
Hester Pharmaceuticals (B): Securing Supply
By: Dante Roscini and John Masko
Supplements the (A) case. In late 2020, demand for Hester Pharmaceutical’s (Hester’s) breakthrough oncology drug Akrozumab was outstripping the company’s most optimistic projections. In order to increase manufacturing capacity and meet the demand, Hester was... View Details
Keywords: COVID-19 Pandemic; Cost vs Benefits; Trade; Supply Chain; Global Strategy; Buildings and Facilities; Operations; Health Care and Treatment; Demand and Consumers; Global Range; Globalized Markets and Industries; Pharmaceutical Industry; Italy; China; United States; Germany
Roscini, Dante, and John Masko. "Hester Pharmaceuticals (B): Securing Supply." Harvard Business School Supplement 722-009, September 2021. (Revised October 2022.)
- 28 May 2019
- News
Ask the Expert: In Security
credit card companies have become much better at shutting that down quickly.” Now hackers look for personally identifiable information—think birthdays, social security numbers, and addresses—that they can sell on the underground View Details
- July 2005
- Article
The Consequences of Labor Market Flexibility: Panel Evidence Based on Survey Data
By: Rafael Di Tella and Robert MacCulloch
We introduce a new data set on hiring and firing restrictions for 21 OECD countries for the period 1984 –1990. The data are based on surveys of business people in the countries covered, so the indices we use are subjective in nature. Controlling for country and time... View Details
Keywords: Job Security Provisions; Subjective Data; Unemployment; Employment; Labor; Markets; Data and Data Sets
Di Tella, Rafael, and Robert MacCulloch. "The Consequences of Labor Market Flexibility: Panel Evidence Based on Survey Data." European Economic Review 49, no. 5 (July 2005): 1225–59.
- January 1987 (Revised March 1989)
- Background Note
Note on the Pricing of Mortgage-Backed Securities
By: Jay O. Light and Jeremy C. Stein
An introduction to mortgage-backed securities, prepayment risk, and their market pricing. View Details
Light, Jay O., and Jeremy C. Stein. "Note on the Pricing of Mortgage-Backed Securities." Harvard Business School Background Note 287-060, January 1987. (Revised March 1989.)
- 24 Oct 2013
- News
Engineering a More Secure World
says Anthony Harris (MBA 1979), president and CEO of the Fiberscope's maker, Campbell/Harris Security Equipment Company (CSECO). "If you catch vehicles going southbound, you generally interdict cash." This truck was going south: In the... View Details
- 2007
- Other Unpublished Work
Round Numbers and Security Returns
By: Edward Johnson, Nicole Bastian Johnson and Devin M. Shanthikumar
We document consistent differences in daily stock returns related to round numbers. In particular, we examine returns following previous day closing prices that are just above or just below round number benchmarks. We find, for both one-digit, two-digit and three-digit... View Details
- March 2009 (Revised February 2011)
- Background Note
Note: Fair Value Accounting for Investments in Debt Securities
The note describes how fair value accounting applies to debt securities that are classified by financial institutions as (1) "trading" securities, (2) "available for sale" securities, or (3) "hold to maturity" securities. It explains the hierarchy for inputs used in... View Details
Fruhan, William E. "Note: Fair Value Accounting for Investments in Debt Securities." Harvard Business School Background Note 209-134, March 2009. (Revised February 2011.)