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1. Regulatory Oversight and Reporting Quality: Evidence from SEC Office Assignment Change

: Pan, Wenqiang
: 2023
: Theses
: AccountingBusiness communicationUnited States. Securities and Exchange CommissionSecuritiesSecurity (Law)

2. A Regulatory Classification of Digital Assets: Toward an Operational Howey Test for Cryptocurrencies, ICOs, and Other Digital Assets

: Henderson, M. Todd; Raskin, Max
: 2019
: Articles
: LawCryptocurrenciesElectronic trading of securities--Law and legislationUnited States. Securities and Exchange CommissionCapital

3. Going Public Secretly: The SEC’s Unavailing Effort to Increase Initial Public Offerings Through Confidential Registration

: Gallagher, Patrick J.
: 2019
: Articles
: LawGoing public (Securities)United States. Securities and Exchange CommissionVenture capital--Government policyCorporations--Finance

4. To Clear or Not to Clear: How SEC Implementation of Dodd-Frank Undermines Title VII’s Mandatory Clearing Requirement

: Feder, Daniel
: 2019
: Articles
: LawUnited States. Securities and Exchange CommissionDerivative securitiesSecurities industry--Government policyDodd-Frank Wall Street Reform and Consumer Protection Act (United States)

5. “Anything Goes”: Regulating the Conduct of Money-Bundling Broadway Co-Producers

: Manella, David
: 2018
: Articles
: TheaterTheatrical producers and directorsUnited States. Securities and Exchange CommissionCoproduction (Motion pictures, television, etc.)Securities Act of 1933 (United States)Securities Exchange Act of 1934 (United States)

6. A Transaction Cost Assessment of SEC Regulation Best Interest

: Johnsen, D. Bruce
: 2018
: Articles
: LawStockbrokers--Legal status, laws, etc.Liability (Law)Transaction costsInvestment advisorsUnited States. Securities and Exchange Commission

7. Hacking Our Securities Disclosure System: The Need For Federal Broker-Dealer Disclosure Requirements Vis-À-Vis Cyber Incidents

: Auman, Jason
: 2018
: Articles
: LawComputer security--Law and legislationUnited States. Securities and Exchange CommissionConsumer protectionStockbrokers--Professional ethics

8. ICO’s, DAO’s, and the SEC: A Partnership Solution

: Oren, Ori
: 2018
: Articles
: LawNew business enterprises--FinanceUnited States. Securities and Exchange CommissionSecuritiesCorporations--Government policy

9. Will Swing Pricing Save Sedentary Shareholders?

: Tucker, Anne M.; Van Den Toom, Holly
: 2018
: Articles
: LawMutual fundsUnited States. Securities and Exchange CommissionStockholdersPricesBlockchains (Databases)

10. Moving at a Glacial Pace: What Can State Attorneys General Do about SEC Inattention to Nondisclosure of Financially Material Risks arising from Climate Change?

: Hart, Nina
: 2014
: Reports
: Climatic changesEnvironmental lawUnited States. Securities and Exchange CommissionFinance