SEC - Publications - Faculty & Research

Fast Answer

Insider Data from Thomson Reuters Ownership Data

href="https://www.library.hbs.edu/Find/Databases/WRDS-Wharton-Research-Data-Services" target="_blank" title="WRDS">WRDS. Please note: Thomson Reuters Ownership data (formerly called Spectrum) is not a clean set of data. This is mostly due to reporting... View Details

Fast Answer

Identifiers in Business Information Databases

provides and ID for securities, the Perm SEC ID. See the corresponding Fast Answer Identifiers available by database for more information on identifiers by... View Details

Web

1929: The Great Crash - Bubbles, Panics & Crashes – Historical Collections – Harvard Business School

legislation,” wrote Harvard Business School Professor Thomas McCraw, Landis “recognized the importance of matching the sanctions to the problems.” 16 One of the strengths of the New Deal’s SEC was its ability to co-opt various... View Details

17 Jan 2023
Book

Good Companies Commit Crimes, But Great Leaders Can Prevent Them

reduces sanctions and penalties, to report. However, even if the company is not charged, they may still be forced to engage in internal investigations that can cost many millions of dollars; civil regulators like the SEC may choose to... View Details

Keywords: by Lane Lambert

Web

The 20th Century Zeitgeist - Leadership

Reconstruction Finance Corp. created to combat bank and business failures Introduction of Federal Deposit Insurance SEC established Federal regulations prohibit false advertising Influence: Low 40 1940 s 19 Military spending explodes... View Details

30 Nov 2022
Research & Ideas

Recruiters: Highlight Your Company’s Diversity, Not Just Perks and Pay

University; and Sorabh Tomar of Southern Methodist University. Investigating the value of diversity US public firms aren’t required to publicly disclose their workforce demographics or policies, but corporations started sharing more data through the Human Capital... View Details

Keywords: by Sean Silverthorne

30 Jul 2001
What Do You Think?

What’s the Future of Corporate Governance?

and loyalty—that help predict future performance? Should they be responsible for the regular auditing of such measures? Should the measures be made available to investors on a regular basis? In fact, should the SEC or another organization... View Details

Keywords: by James Heskett

12 Jun 2018
Research & Ideas

In a Landscape of 'Me Too' Drug Development, What Spurs Radical Innovation?

once the Gleevec patent expired. Last year, Novartis’ revenue from Gleevec dropped more than 40 percent, Novartis reported in a recent SEC filing. The example demonstrates the central dilemma faced by drug makers, and underscores their... View Details

Keywords: by Rachel Layne; Health; Pharmaceutical

02 Oct 2017
What Do You Think?

Do Bitcoin and Digital Currency Have a Future?

persuade staff members that hedging both securities and commodities contracts was an acceptable investment strategy and not mere speculation. Eventually, we succeeded in registering with the SEC and 37 US states before piling up legal... View Details

Keywords: by James L. Heskett; Financial Services

12 Jul 2004
Research & Ideas

Enron’s Lessons for Managers

long distances, among other differences, he said.) Deceit and denial fostered ethical drift. Enron's ethical drift was further motivated by a desire to manage the credit rating and to manage the need for cash and earnings volatility, in violation of GAPP and View Details

Keywords: by Martha Lagace

Web

Charts & Statistics - Leadership

Airmail service starts Influence: High 30 1930 s 19 The New Deal Commercial and investment banking separated Reconstruction Finance Corp. created to combat bank and business failures Introduction of Federal Deposit Insurance SEC... View Details

22 Feb 2022
News

Breaking News

Qwest was headquartered. Within a year of the reporting, the story had escalated to federal regulators, and Qwest agreed to pay $250 million to settle a SEC investigation into its accounting practices. Then, in 2009, two months shy of its... View Details

Keywords: Jen McFarland Flint; illustration by Dana Smith; News, Library, Internet, and Other Services; Information

Web

Harvard Business School

Decade's Most Influential Lawyers.” In 2006 he was named “Lawyer of the Year.” A partner and co-chair of the Litigation Department of Paul, Weiss, Rifkind, Wharton & Garrison LLP, Wells has extensive experience in white-collar defense, complex civil and corporate... View Details

Fast Answer

Mutual funds: information

href="https://www.library.hbs.edu/Find/Databases/Morningstar-Direct" target="new">Morningstar Direct feature advanced screening on various criteria.
LSEG Workspace has SEC filings of mutual funds, including 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 enforcement agency... View Details

Keywords: by Ann Cullen

12 Jan 2015
Research & Ideas

Regulators Ease Up on Companies Generating Political Benefits

answers to understand that laxity including political contributions to politicians and even proximity to SEC headquarters. Heese had a different thought. Do Regulators Play Favorites? What if companies were given a pass on their lax... View Details

Keywords: by Michael Blanding

Fast Answer

Companies: financials

Where can I find company financials (e.g., balance sheets etc.)? Use LSEG Workspace to retrieve the SEC filings. Orbis, has company financials Tegus and BamSEC provide access to SEC filings... View Details

01 Sep 2009
News

Executive Pay: Onward & Upward

awards drives a sharp increase in CEO compensation. 1992 The SEC requires more disclosure of executive compensation, particularly stock options and perks. With more information in public view, the rules trigger an unintended upward pay... View Details

Keywords: Corporate Services; Management, Scientific, and Technical Consulting Services; Professional Services

19 Jan 2011
Research & Ideas

Activist Board Members Increase Firm’s Market Value

two organizations jointly filed a lawsuit against the SEC, arguing that the rule violated the Administrative Procedure Act and that the SEC failed to properly assess the rule's effects on "efficiency, competition and capital... View Details

Keywords: by Carmen Nobel

Robert R. Young

bonds in foreclosure, launching a fight that took years to settle. Young, however, came out on top and was vindicated when the SEC formally instituted a competitive bidding requirement for all bond issuances. The C&O railroad itself,... View Details

Keywords: Transportation

Publications