Securities And Exchange Commission - Publications - Faculty & Research

28 May 2019
Research & Ideas

Investor Lawsuits Against Auditors Are Falling, and That's Bad News for Capital Markets

audit committees have improved their ability and willingness to monitor auditors. Investors can ask for and insist on strong audit committees of the board and pay more... View Details

Keywords: by Martha Lagace; Financial Services; Accounting

01 Dec 1998
News

Africa's Way

Communications Group) has secured $37 million in financing to support wireless communication programs in underdeveloped regions, including sub-Saharan Africa. "We are currently setting up voicemail through wireless public pay phones at... View Details

Keywords: Susan Young and Garry Emmons

01 Jun 1996
News

Four Professors to Retire

the Air Force's Exceptional Civilian Service Award. Christenson also participated in the development of the U.S. Army's first cost-based budgetary control system. His publications include Strategic Aspects of Competitive Bidding for Corporate View Details

Keywords: Elaine Gottlieb and John Prestage

01 Jun 2015
News

The Military and the MBA: Maura Corby Sullivan (MBA/MPA 2009)

for.” I was commissioned as a second lieutenant in the Marine Corps in 2001, and I chose logistics because it was one of the best opportunities for women. You can lead a line platoon View Details

Keywords: National Security and International Affairs; National Security and International Affairs

01 Dec 1997
News

Growing Together

excellence-becoming the best in the world; enhancing business-to-business networking and partnering; becoming world-ready, foreign-friendly, and globally linked; creating employability View Details

Keywords: Marguerite Rigoglioso and Nancy O. Perry

07 Dec 2015
Research & Ideas

The Rise of Personalized Entrepreneurial Finance and Other VC Trends

of time the Securities and Exchange Commission (SEC) has spent trying to write the regulations around it. The SEC wants to encourage individuals... View Details

Keywords: Re: Josh Lerner; Financial Services; Banking

06 Dec 2021
News

Truth Be Told

Image by John Ritter In 2018, HBS associate professors Aiyesha Dey and Jonas Heese wrote a case about a whistleblower at a multi-national gambling company who exposed financial misstatements, first to his manager and later to the US Securities and Exchange Commission.... View Details

Keywords: April White; Corporate, Subsidiary, and Regional Managing Offices; Management

29 Aug 2011
Research & Ideas

Decoding Insider Information and Other Secrets of Old School Chums

Security and Exchange Commission mandated that publicly traded companies had to disclose all material information to their investors at the same... View Details

Keywords: by Carmen Nobel; Financial Services

05 Oct 2014
News

SEC’s new rules give US money market funds a floating feeling

02 Dec 2018
News

An Investor’s Guide to Climate Change: Risks and Opportunities

those living in different ways and places. Acknowledging that no one gets a free pass when it comes to climate change, Lassiter said alumni must continue to exchange and act on... View Details

Keywords: Allison Webster; Management, Scientific, and Technical Consulting Services; Management, Scientific, and Technical Consulting Services; Management, Scientific, and Technical Consulting Services; Management, Scientific, and Technical Consulting Services

11 May 2016
News

World Bank Vice President and Treasurer: Negative Rates Not the Answer

Bank in September 2015, previously serving a five-year term as director-general of Nigeria’s Security and Exchange Commission from 2011 to 2015.... View Details

Web

Institute Associates - Institute For Strategy And Competitiveness

Exchange Fellowship; the Orthopaedic Research Society William Harris Award; and the Hip Society John Charnley Award, among others. Contact kevin.bozic@austin.utexas.edu Education BSE, Duke University MD,... View Details

2013
Supplement

Yanzhou Coal Mining Company Limited: Overseas Acquisitions (B)

By: F. Warren McFarlan, Yongjun Jin and Xiaohui Li

Yanzhou Coal Mining Company Limited (Yanzhou Coal) is a listed company controlled by Yankuang Group Co., Ltd. (Yankuang Group) which is affiliated to the State-owned Assets Supervision and Administration Commission (SASAC) of Shandong Provincial Government, China.... View Details

Keywords: Mergers ＆ Acquisitions; China; Electric Power Generation; Mergers and Acquisitions; Strategy; China

Citation

Purchase

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... View Details

Keywords: Sean Silverthorne

2012
Working Paper

How Short-Termism Invites Corruption—And What to Do About It

By: Malcolm S. Salter

Researchers and business leaders have long decried short-termism: the excessive focus of executives of publicly traded companies-along with fund managers and other investors-on short-term results. The central concern is that short-termism discourages long-term... View Details

Keywords: Business and Shareholder Relations; Public Ownership; Performance Expectations; Economy; Crime and Corruption; Ethics; Trust; Financial Services Industry; United States

Citation

Read Now

2013
Case

Yanzhou Coal Mining Company Limited: Overseas Acquisitions (A)

By: F. Warren McFarlan, Yongjun Jin and Xiaohui Li

Yanzhou Coal Mining Company Limited (Yanzhou Coal) is a listed company controlled by Yankuang Group Co., Ltd. (Yankuang Group) which is affiliated to the State-owned Assets Supervision and Administration Commission (SASAC) of Shandong Provincial Government, China.... View Details

Keywords: Mergers ＆ Acquisitions; Strategy; China; Electric Power Generation; China

Citation

Purchase

December 2005 (Revised August 2006)
Case

Bloemenveiling Aalsmeer

By: Felix Oberholzer-Gee, Vincent Marie Dessain, Daniela Beyersdorfer and Anders Sjoman

The Dutch "Verenigde Bloemenveiling Aalsmeer Cooperative" (VBA) was on of the world's largest flower exchanges. Around 6,300 flower growers, one half of them located in the Netherlands, used the auction to sell cut flowers and plants to more than 1,000 wholesalers. In... View Details

Keywords: Auctions; Bids and Bidding; Trade; Market Entry and Exit; Financial Markets; Segmentation; Agriculture and Agribusiness Industry; Netherlands

Citation

Educators

Purchase

11 Jan 2011
Working Paper Summaries

Does Shareholder Proxy Access Improve Firm Value? Evidence from the Business Roundtable Challenge

Keywords: by Bo Becker, Daniel B. Bergstresser & Guhan Subramanian; Financial Services

01 May 2018
First Look

First Look at New Research and Ideas, May 1, 2018

behavior and explore how they make a negotiator particularly vulnerable to ethical fading, resulting in subsequent unethical behavior. We discuss several opportunities for future research in the negotiation discipline View Details

Keywords: Sean Silverthorne

March 2008 (Revised April 2009)
Case

Eliot Spitzer: Pushing Wall Street to Reform

By: Rawi Abdelal, Rafael Di Tella and Jonathan Schlefer

New York State Attorney General Eliot Spitzer faced a decision about how to stop wrongdoing committed by major Wall Street firms during the Internet boom. The equities analysts of Merrill Lynch and other Wall Street firms were charged with objectively advising retail... View Details