TY - JOUR T1 - Does futures speculation destabilize commodity markets? AN - 1704340611; 4695050 AB - This paper examines how increased speculator participation in the commodity futures market affects market outcomes, including trades' price impacts, price volatility, and market quality. Contrary to the popular belief that speculators are responsible for the recent commodity price fluctuation, my analysis finds no evidence that speculators destabilize the commodity spot market. Instead, speculators contribute to lower price volatility, enhanced price efficiency, and better liquidity in the commodity markets. More importantly, I show that speculators either have no effect or stabilize prices during periods of large price movement. My findings suggest speculators have had a significant and in fact positive influence on the commodity market during the recent 'financialization' period, implying that restricting speculative trading in the futures market is not an efficient way to stabilize the commodity market. © 2015 Wiley Periodicals, Inc. Jrl Fut Mark 35:696-714, 2015 Copyright John Wiley & Sons. Reproduced with permission. An electronic version of this article is available online at http://www.interscience.wiley.com JF - Journal of futures markets AU - Kim, Abby AD - US Securities and Exchange Commission Y1 - 2015/08// PY - 2015 DA - Aug 2015 SP - 696 EP - 714 VL - 35 IS - 8 SN - 0270-7314, 0270-7314 KW - Economics KW - Liquidity KW - Market theory KW - Price theory KW - Beliefs KW - Commodity market KW - Volatility UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/1704340611?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Journal+of+futures+markets&rft.atitle=Does+futures+speculation+destabilize+commodity+markets%3F&rft.au=Kim%2C+Abby&rft.aulast=Kim&rft.aufirst=Abby&rft.date=2015-08-01&rft.volume=35&rft.issue=8&rft.spage=696&rft.isbn=&rft.btitle=&rft.title=Journal+of+futures+markets&rft.issn=02707314&rft_id=info:doi/10.1002%2Ffut.21716 LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2015-08-17 N1 - Last updated - 2015-08-17 N1 - SubjectsTermNotLitGenreText - 13349 13078; 2551 7711; 7737; 7446; 1547; 10104 DO - http://dx.doi.org/10.1002/fut.21716 ER - TY - JOUR T1 - How is power shared in Africa? AN - 1680165853; 4669477 AB - Is African politics characterized by concentrated power in the hands of a narrow group (ethnically determined) that then fluctuates from one extreme to another via frequent coups? Employing data on the ethnicity of cabinet ministers since independence, we show that African ruling coalitions are surprisingly large and that political power is allocated proportionally to population shares across ethnic groups. This holds true even restricting the analysis to the subsample of the most powerful ministerial posts. We argue that the likelihood of revolutions from outsiders and coup threats from insiders are major forces explaining allocations within these regimes. Alternative allocation mechanisms are explored. Counterfactual experiments that shed light on the role of Western policies in affecting African national coalitions and leadership group premia are performed. Reprinted by permission of the Econometric Society JF - Econometrica AU - Francois, Patrick AU - Rainer, Ilia AU - Trebbi, Francesco AD - University of British Columbia ; US Securities and Exchange Commission ; National Bureau of Economic Research Y1 - 2015/03// PY - 2015 DA - Mar 2015 SP - 465 EP - 503 VL - 83 IS - 2 SN - 0012-9682, 0012-9682 KW - Political Science KW - Allocation of power KW - Africa KW - Coalitions KW - Political power KW - Ministers KW - Ethnic groups KW - Leadership UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/1680165853?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Econometrica&rft.atitle=How+is+power+shared+in+Africa%3F&rft.au=Francois%2C+Patrick%3BRainer%2C+Ilia%3BTrebbi%2C+Francesco&rft.aulast=Francois&rft.aufirst=Patrick&rft.date=2015-03-01&rft.volume=83&rft.issue=2&rft.spage=465&rft.isbn=&rft.btitle=&rft.title=Econometrica&rft.issn=00129682&rft_id=info:doi/10.3982%2FECTA11237 LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2015-05-11 N1 - Last updated - 2015-05-12 N1 - SubjectsTermNotLitGenreText - 9754 9965; 2425 5676; 8117 9807 9637; 7271 1411; 4424; 927 9965; 2 DO - http://dx.doi.org/10.3982/ECTA11237 ER - TY - JOUR T1 - Access to technology and the transfer function of community colleges: evidence from a field experiment AN - 1539472500; 4571440 AB - Access to information may represent an important barrier to learning about and ultimately transferring to 4-year colleges for low-income community college students. This article explores the role that access to information technology, in particular, plays in enhancing, or possibly detracting from, the transfer function of the community college. Using data from the first‐ ;ever field experiment randomly providing free computers to students, we examine the relationships between access to home computers and enrollment in transferable courses and actual transfers to 4-year colleges. The results from the field experiment indicate that the treatment group of students receiving free computers has a 4.5 percentage point higher probability of taking transferable courses than the control group of students not receiving free computers. The evidence is less clear for the effects on actual transfers to 4-year colleges and the probability of using a computer to search for college information (which possibly represents one of the mechanisms for positive effects). In both cases, point estimates are positive, but the confidence intervals are wide. Finally, power calculations indicate that sample sizes would have to be considerably larger to find statistically significant treatment effects and reasonably precise confidence intervals given the actual transfer rate point estimates. (JEL J24, O33, I23, I24) Reprinted by permission of Wiley-Blackwell JF - Economic inquiry AU - Fairlie, Robert W AU - Grunberg, Samantha H AD - University of California ; US Securities and Exchange Commission Y1 - 2014/07// PY - 2014 DA - Jul 2014 SP - 1040 EP - 1059 VL - 52 IS - 3 SN - 0095-2583, 0095-2583 KW - Economics KW - Community KW - Probability KW - Computers KW - Information technology KW - Control groups KW - Transfer UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/1539472500?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Economic+inquiry&rft.atitle=Access+to+technology+and+the+transfer+function+of+community+colleges%3A+evidence+from+a+field+experiment&rft.au=Fairlie%2C+Robert+W%3BGrunberg%2C+Samantha+H&rft.aulast=Fairlie&rft.aufirst=Robert&rft.date=2014-07-01&rft.volume=52&rft.issue=3&rft.spage=1040&rft.isbn=&rft.btitle=&rft.title=Economic+inquiry&rft.issn=00952583&rft_id=info:doi/10.1111%2Fecin.12086 LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2014-06-23 N1 - Last updated - 2014-06-24 N1 - SubjectsTermNotLitGenreText - 2603; 2843 5636 5676 971; 6538 6515 12622; 10214 12224 971; 12916; 2683 DO - http://dx.doi.org/10.1111/ecin.12086 ER - TY - BOOK T1 - How to Fix Our Broken Proxy Advisory System AN - 1417542687; 2011-457858 AB - A rule enacted by the Securities and Exchange Commission in 2003 required institutions to adopt and disclose policies for proxy voting that were intended to minimize conflicts between the institutions' interests and those of their shareholders. An SEC staff interpretation of that rule led to a result almost the opposite of the ruling's intent. Institutions could easily protect themselves from legal liability by shifting responsibility to proxy advisory firms, which acquired increasing power over corporate governance, to the detriment of shareholders. JF - Mercatus Center, Apr 2013, 30 pp. AU - Glassman, James K AU - Verret, J W Y1 - 2013/04// PY - 2013 DA - April 2013 PB - Mercatus Center KW - Law and ethics - Liability, torts, and personal injury KW - Politics - Elections and voting KW - Business and service sector - Business organization and administration KW - International relations - War KW - Politics - Political dissent and internal conflict KW - Corporate governance KW - Conflict KW - Liability KW - Voting KW - book UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/1417542687?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=Glassman%2C+James+K%3BVerret%2C+J+W&rft.aulast=Glassman&rft.aufirst=James&rft.date=2013-04-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=How+to+Fix+Our+Broken+Proxy+Advisory+System&rft.title=How+to+Fix+Our+Broken+Proxy+Advisory+System&rft.issn=&rft_id=info:doi/ L2 - http://mercatus.org/sites/default/files/Glassman_ProxyAdvisorySystem_04152013.pdf LA - English DB - PAIS Index N1 - Date revised - 2013-08-01 N1 - Publication note - Mercatus Center, 2013 N1 - Last updated - 2016-09-28 ER - TY - JOUR T1 - Time-inconsistent risk preferences in a laboratory experiment AN - 1151922893; 4361268 AB - We conduct an experiment to explore the time-consistency of risk preferences in a multi-period betting game. Specifically, subjects planned their contingent betting decisions in advance then played the game dynamically later to determine whether their respective decisions matched. We find that subjects took more risk than planned in their initial bet and after losses. In addition, this increased risk was associated with an increase in breakeven mental accounting. Our findings indicate that immediacy of outcomes can lead to impulsive risk-taking behavior and highlight the importance of precommitment to long-term financial planning. Reprinted by permission of Springer JF - Review of quantitative finance and accounting AU - Ko, K Jeremy AU - Huang, Zhijian AD - Securities and Exchange Commission ; University of Wisconsin, Milwaukee Y1 - 2012/11// PY - 2012 DA - Nov 2012 SP - 471 EP - 484 VL - 39 IS - 4 SN - 0924-865X, 0924-865X KW - Economics KW - Risk management KW - Financial accounting KW - Financial planning KW - Experimental economics KW - Behavioural economics KW - Decision analysis UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/1151922893?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Review+of+quantitative+finance+and+accounting&rft.atitle=Time-inconsistent+risk+preferences+in+a+laboratory+experiment&rft.au=Ko%2C+K+Jeremy%3BHuang%2C+Zhijian&rft.aulast=Ko&rft.aufirst=K&rft.date=2012-11-01&rft.volume=39&rft.issue=4&rft.spage=471&rft.isbn=&rft.btitle=&rft.title=Review+of+quantitative+finance+and+accounting&rft.issn=0924865X&rft_id=info:doi/10.1007%2Fs11156-011-0264-x LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 4625 4025; 4944 3975; 11038 7625; 3321 971 6071 1542 11325; 4910 528 4937 7625; 1539 3985 10404 DO - http://dx.doi.org/10.1007/s11156-011-0264-x ER - TY - JOUR T1 - Large shareholder diversification, corporate risk taking, and the benefits of changing to differential voting rights AN - 928984242; 4276014 AB - We show how the change to differential voting rights allows dominant shareholders to retain control even after selling substantial economic ownership in the firm and diversifying their wealth. This unbundling of cash flow and control rights leads to more dispersed economic ownership and a closer alignment of dominant and dispersed shareholder interests. When insiders sell sizeable amounts of their economic interests, firms increase capital expenditures, strengthen corporate focus, divest non-core operations, and generate superior industry-adjusted performance. The change to differential voting rights both fosters corporate control activity and creates higher takeover premiums that are paid equally to all shareholders. All rights reserved, Elsevier JF - Journal of banking and finance AU - Bauguess, Scott W AU - Slovin, M B AU - Sushka, M E AD - Securities and Exchange Commission, Washington Y1 - 2012/04// PY - 2012 DA - Apr 2012 SP - 1244 EP - 1253 VL - 36 IS - 4 SN - 0378-4266, 0378-4266 KW - Economics KW - Stockholders KW - Acquisitions KW - Take-overs KW - Ownership and control KW - Voters UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/928984242?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Journal+of+banking+and+finance&rft.atitle=Large+shareholder+diversification%2C+corporate+risk+taking%2C+and+the+benefits+of+changing+to+differential+voting+rights&rft.au=Bauguess%2C+Scott+W%3BSlovin%2C+M+B%3BSushka%2C+M+E&rft.aulast=Bauguess&rft.aufirst=Scott&rft.date=2012-04-01&rft.volume=36&rft.issue=4&rft.spage=1244&rft.isbn=&rft.btitle=&rft.title=Journal+of+banking+and+finance&rft.issn=03784266&rft_id=info:doi/10.1016%2Fj.jbankfin.2011.11.009 LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 12288 12290; 13365; 9080 9079; 12485 547 2527 3896 3921; 547 2527 3896 3921 DO - http://dx.doi.org/10.1016/j.jbankfin.2011.11.009 ER - TY - JOUR T1 - Do investors trade uniformly through time? AN - 755921222; 4105053 AB - This study tests whether investors trade uniformly through time by analyzing the quarter-by-quarter trading decision of individual shareholders in one no-load mutual fund family over nearly six years. These shareholders' trading probabilities change dramatically through time. Time has a larger economic effect on the shareholders' trading decisions than data commonly used in prior research, including fund performance. This effect is larger among shareholders who have more prior transactions, and it is robust to controls for unobserved heterogeneity. All rights reserved, Elsevier JF - Journal of empirical finance AU - Johnson, W T AD - US Securities and Exchange Commission Y1 - 2010/09// PY - 2010 DA - Sep 2010 SP - 645 EP - 658 VL - 17 IS - 4 SN - 0927-5398, 0927-5398 KW - Economics KW - Stockholders KW - Decision making KW - Financial information KW - Investors KW - Investment trusts KW - Trade KW - Capital market KW - Stock returns KW - Traders UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/755921222?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Journal+of+empirical+finance&rft.atitle=Do+investors+trade+uniformly+through+time%3F&rft.au=Johnson%2C+W+T&rft.aulast=Johnson&rft.aufirst=W&rft.date=2010-09-01&rft.volume=17&rft.issue=4&rft.spage=645&rft.isbn=&rft.btitle=&rft.title=Journal+of+empirical+finance&rft.issn=09275398&rft_id=info:doi/10.1016%2Fj.jempfin.2010.02.002 LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 6887 13017 4908; 6893 3874 556; 12865 8864; 12812; 12283 12290; 4927 6515; 1983 7711; 3322 6071 1542 11325; 12288 12290 DO - http://dx.doi.org/10.1016/j.jempfin.2010.02.002 ER - TY - JOUR T1 - Who incentivizes the mutual fund manager, new or old shareholders? AN - 743811630; 3981540 AB - This study tests whether mutual fund shareholders continue to trade in response to fund returns after they make their initial investment in fund shares. It decomposes the relationship between fund returns and shareholder flow in a large, proprietary panel of all shareholder transactions in one midsize no-load mutual fund family. Results show that both new and old shareholders buy shares during periods of good returns; however, shareholder outflow is essentially unrelated to fund returns. This lack of a return-sell relationship is not driven by locked-in pension assets, shareholders' ignorance of ongoing fund returns, or embedded capital gains. However, there is evidence that exchanges between equity funds in the family are related more strongly to returns of the destination fund than to returns of the origination fund. This may indicate that flow between equity mutual funds is driven by shareholders buying new funds rather than selling old funds. Supermarket shareholders are smart insofar as they exchange into funds that subsequently outperform their prior funds during their individual holding periods. All rights reserved, Elsevier JF - Journal of financial intermediation AU - Johnson, Woodrow T AD - US Securities and Exchange Commission Y1 - 2010/04// PY - 2010 DA - Apr 2010 SP - 143 EP - 168 VL - 19 IS - 2 SN - 1042-9573, 1042-9573 KW - Economics KW - Stockholders KW - Capital gains KW - Investment trusts KW - Pensions KW - Transactional analysis KW - Financial incentives KW - Investment returns KW - Fund management UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/743811630?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Journal+of+financial+intermediation&rft.atitle=Who+incentivizes+the+mutual+fund+manager%2C+new+or+old+shareholders%3F&rft.au=Johnson%2C+Woodrow+T&rft.aulast=Johnson&rft.aufirst=Woodrow&rft.date=2010-04-01&rft.volume=19&rft.issue=2&rft.spage=143&rft.isbn=&rft.btitle=&rft.title=Journal+of+financial+intermediation&rft.issn=10429573&rft_id=info:doi/10.1016%2Fj.jfi.2009.09.003 LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 6887 13017 4908; 5348 4937 7625; 12288 12290; 6882; 12912 11901 10404 971; 1971 10304; 9369; 4926 3944 3889 6071 1542 11325 DO - http://dx.doi.org/10.1016/j.jfi.2009.09.003 ER - TY - CPAPER T1 - The Information Content of Market-on-Close Imbalances, the Specialist and NYSE Equity Prices T2 - 2010 Allied Social Sciences Association Annual Meeting (ASSA 2010) AN - 42300763; 5636301 JF - 2010 Allied Social Sciences Association Annual Meeting (ASSA 2010) AU - Mayhew, Stewart AU - McCormick, Tim AU - Spatt, Chester Y1 - 2010/01/03/ PY - 2010 DA - 2010 Jan 03 KW - U 7000:Multidisciplinary UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/42300763?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Acpi&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=conference&rft.jtitle=2010+Allied+Social+Sciences+Association+Annual+Meeting+%28ASSA+2010%29&rft.atitle=The+Information+Content+of+Market-on-Close+Imbalances%2C+the+Specialist+and+NYSE+Equity+Prices&rft.au=Mayhew%2C+Stewart%3BMcCormick%2C+Tim%3BSpatt%2C+Chester&rft.aulast=Mayhew&rft.aufirst=Stewart&rft.date=2010-01-03&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=&rft.title=2010+Allied+Social+Sciences+Association+Annual+Meeting+%28ASSA+2010%29&rft.issn=&rft_id=info:doi/ L2 - http://www.aeaweb.org/aea/conference/program/preliminary.php LA - English DB - ProQuest Environmental Science Collection N1 - Date revised - 2010-04-06 N1 - Last updated - 2010-05-03 ER - TY - JOUR T1 - Ex-dividend arbitrage in option markets AN - 743810130; 3962550 AB - We examine the behavior of call options surrounding the underlying stock's ex-dividend date. The evidence is inconsistent with the predictions of a rational exercise policy; a significant fraction of the open interest remains unexercised, resulting in a windfall gain to option writers. This triggers a sophisticated trading scheme that enables short-term traders to receive a significant fraction of the gains. The trading scheme inflates reported volume and distorts its traditional relations to liquidity. The dramatic increases in the volume of trade on the last cum-dividend day are facilitated by limitations on transaction costs passed by the various option exchanges. Reprinted by permission of Oxford University Press JF - Review of financial studies AU - Hao, Jia AU - Kalay, Avner AU - Mayhew, Stewart AD - Wayne State University ; Tel-Aviv University ; US Securities and Exchange Commission Y1 - 2010/01// PY - 2010 DA - Jan 2010 SP - 271 EP - 304 VL - 23 IS - 1 SN - 0893-9454, 0893-9454 KW - Economics KW - Financial engineering KW - Transaction costs KW - Stock returns KW - Trade volume KW - Option pricing KW - U.S.A. UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/743810130?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Review+of+financial+studies&rft.atitle=Ex-dividend+arbitrage+in+option+markets&rft.au=Hao%2C+Jia%3BKalay%2C+Avner%3BMayhew%2C+Stewart&rft.aulast=Hao&rft.aufirst=Jia&rft.date=2010-01-01&rft.volume=23&rft.issue=1&rft.spage=271&rft.isbn=&rft.btitle=&rft.title=Review+of+financial+studies&rft.issn=08939454&rft_id=info:doi/10.1093%2Frfs%2Fhhp038 LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 4923 4937 7625; 8967 10119; 12283 12290; 12859 12812; 12911 2934; 433 293 14 DO - http://dx.doi.org/10.1093/rfs/hhp038 ER - TY - JOUR T1 - Universal banking, asset management, and stock underwriting AN - 37304039; 3951184 AB - This paper examines institutions that underwrite IPOs and have asset management divisions from 1993 through 1998. We provide evidence that these firms use asset management funds as vehicles to help them earn more equity underwriting business. We also show that asset managers affiliated with IPO underwriters use their superior information about their own institution's IPOs to earn annualised market adjusted returns 7.6% above asset managers of firms who did not underwrite the IPO. Superior future returns by asset managers who trade affiliated IPOs are dependent on the information environment for the IPO and the underwriter reputation rank. Reprinted by permission of Blackwell Publishers JF - European financial management AU - Johnson, William C AU - Marietta-Westberg, Jennifer AD - University of New Hampshire ; US Securities and Exchange Commission Y1 - 2009/09// PY - 2009 DA - Sep 2009 SP - 703 EP - 732 VL - 15 IS - 4 SN - 1354-7798, 1354-7798 KW - Economics KW - Investment banks KW - Financial services KW - Corporate finance KW - Financing methods KW - Banking KW - Initial public offering UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/37304039?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=European+financial+management&rft.atitle=Universal+banking%2C+asset+management%2C+and+stock+underwriting&rft.au=Johnson%2C+William+C%3BMarietta-Westberg%2C+Jennifer&rft.aulast=Johnson&rft.aufirst=William&rft.date=2009-09-01&rft.volume=15&rft.issue=4&rft.spage=703&rft.isbn=&rft.btitle=&rft.title=European+financial+management&rft.issn=13547798&rft_id=info:doi/10.1111%2Fj.1468-036X.2008.00475.x LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 2887 4908; 4968 4908; 6549 12269 4930 6590; 6856 1477 4930 6590; 4957; 1470 1477 4930 6590 4908 DO - http://dx.doi.org/10.1111/j.1468-036X.2008.00475.x ER - TY - CPAPER T1 - SOX, Corporate Transparency, and the Cost of Debt T2 - 2009 European Financial Management Symposium on Corporate Governance and Control (EFM 2009) AN - 41980251; 5128421 JF - 2009 European Financial Management Symposium on Corporate Governance and Control (EFM 2009) AU - Bernile, Gennaro AU - Andrade, Sandro AU - Hood, Frederick Y1 - 2009/04/09/ PY - 2009 DA - 2009 Apr 09 KW - Transparency KW - U 7000:Multidisciplinary UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/41980251?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Acpi&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=conference&rft.jtitle=2009+European+Financial+Management+Symposium+on+Corporate+Governance+and+Control+%28EFM+2009%29&rft.atitle=SOX%2C+Corporate+Transparency%2C+and+the+Cost+of+Debt&rft.au=Bernile%2C+Gennaro%3BAndrade%2C+Sandro%3BHood%2C+Frederick&rft.aulast=Bernile&rft.aufirst=Gennaro&rft.date=2009-04-09&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=&rft.title=2009+European+Financial+Management+Symposium+on+Corporate+Governance+and+Control+%28EFM+2009%29&rft.issn=&rft_id=info:doi/ L2 - http://efmaefm.org/0EFMSYMPOSIUM/CGC%202009/EFM09%20Cambridge%20progra m_2009-2-28.pdf LA - English DB - ProQuest Environmental Science Collection N1 - Date revised - 2009-07-17 N1 - Last updated - 2010-05-03 ER - TY - CPAPER T1 - The Role of Advisory Services in Proxy Voting T2 - 2009 European Financial Management Symposium on Corporate Governance and Control (EFM 2009) AN - 41955397; 5128413 JF - 2009 European Financial Management Symposium on Corporate Governance and Control (EFM 2009) AU - Alexander, Cindy AU - Chen, Mark AU - Seppi, Duane AU - Spatt, Chester Y1 - 2009/04/09/ PY - 2009 DA - 2009 Apr 09 KW - U 7000:Multidisciplinary UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/41955397?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Acpi&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=conference&rft.jtitle=2009+European+Financial+Management+Symposium+on+Corporate+Governance+and+Control+%28EFM+2009%29&rft.atitle=The+Role+of+Advisory+Services+in+Proxy+Voting&rft.au=Alexander%2C+Cindy%3BChen%2C+Mark%3BSeppi%2C+Duane%3BSpatt%2C+Chester&rft.aulast=Alexander&rft.aufirst=Cindy&rft.date=2009-04-09&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=&rft.title=2009+European+Financial+Management+Symposium+on+Corporate+Governance+and+Control+%28EFM+2009%29&rft.issn=&rft_id=info:doi/ L2 - http://efmaefm.org/0EFMSYMPOSIUM/CGC%202009/EFM09%20Cambridge%20progra m_2009-2-28.pdf LA - English DB - ProQuest Environmental Science Collection N1 - Date revised - 2009-07-17 N1 - Last updated - 2010-05-03 ER - TY - JOUR T1 - The Supreme Court of Pakistan and the Case of Missing Persons AN - 743019344; 201022671 AB - Draws upon constitutional law, humanitarian law, & national criminal law to explore the Supreme Court of Pakistan's role in dealing with the more than 100 missing persons allegedly abducted by government forces. The Pakistani government refuses to acknowledge the detention of these persons & is unwilling to attempt to discover their fate. Consequently, missing persons do not have the protection under the law supposedly granted to Pakistani citizens. The only recourse available to families of the missing is to rely on the courts, especially the Supreme Court, which should strive to discover the whereabouts of the missing individuals & restore their constitutional rights. The significance of the Supreme Court's involvement with missing persons is emphasized. It is contended that the unwillingness of the democratically elected government of Pakistan to strive to bring perpetrators of enforced disappearances to justice is a clear violation of the 1993 UN Declaration on the Protection of all Persons from Enforced Disappearance. The need for both restitution & retributive justice is discussed. Adapted from the source document. JF - Asia-Pacific Journal on Human Rights and the Law AU - Hassan, Tariq AD - Lawyer, in Islamabad, Pakistan, and former Chairman of the Securities and Exchange Commission of Pakistan Y1 - 2009///0, PY - 2009 DA - 0, 2009 SP - 23 EP - 42 PB - Martinus Nijhoff Publishers, Leiden The Netherlands VL - 10 IS - 2 SN - 1388-1906, 1388-1906 KW - Pakistan KW - Supreme Courts KW - United Nations KW - Justice KW - Constitutional Law KW - Reparations KW - article KW - 9061: international relations; international law UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/743019344?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Awpsa&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Asia-Pacific+Journal+on+Human+Rights+and+the+Law&rft.atitle=The+Supreme+Court+of+Pakistan+and+the+Case+of+Missing+Persons&rft.au=Hassan%2C+Tariq&rft.aulast=Hassan&rft.aufirst=Tariq&rft.date=2009-01-01&rft.volume=10&rft.issue=2&rft.spage=23&rft.isbn=&rft.btitle=&rft.title=Asia-Pacific+Journal+on+Human+Rights+and+the+Law&rft.issn=13881906&rft_id=info:doi/10.1163%2F138819010X12647506166474 LA - English DB - Worldwide Political Science Abstracts N1 - Date revised - 2010-06-07 N1 - Last updated - 2016-09-28 N1 - SubjectsTermNotLitGenreText - Supreme Courts; Pakistan; Constitutional Law; Justice; United Nations; Reparations DO - http://dx.doi.org/10.1163/138819010X12647506166474 ER - TY - JOUR T1 - The Clawback Provision of Sarbanes-Oxley: An Underutilized Incentive to Keep the Corporate House Clean AN - 58806806; 2008-253996 AB - The Sarbanes-Oxley Act of 2002, passed in the wake of corporate scandals involving misstated financial reports, included a provision for certain compensation and profits from the sale of company stock to be "clawed back" from chief executive officers and chief financial officers of companies that are required to restate their financials, due to material non-compliance with any financial reporting requirement of the securities laws, as a result of misconduct. Courts have determined that only the Securities and Exchange Commission may sue to enforce this clawback provision. In the six years following passage of the law, there have been Sarbanes-Oxley clawbacks in only a small number of cases, each one an options backdating case involving allegations that the officer affected personally committed fraud. This Article takes the position that the clawback provision has no scienter requirement and its application should not be limited to officers who have personally engaged in misconduct. Rather, the wording of Sarbanes-Oxley, its legislative history, and the policies it serves call for the clawback to be applied to the chief executive officers and chief financial officers of companies that are required to restate their financials due to material non-compliance with any financial reporting requirement of the securities laws as a result of misconduct, regardless of whether those officers actively participated in the wrongdoing, knew of and failed to correct the wrongdoing, or were oblivious to wrongdoing by employees subject to their control. This general rule can be made subject to an exemption for circumstances involving certain misconduct by non-management employees. Adapted from the source document. JF - The Business Lawyer AU - Schwartz, Rachael E AD - Division of Enforcement, U.S. Securities and Exchange Commission Y1 - 2008/11// PY - 2008 DA - November 2008 SP - 1 EP - 35 PB - American Bar Assoc, Section of Business Law, Chicago IL VL - 64 IS - 1 SN - 0007-6899, 0007-6899 KW - Business and service sector - Business organization and administration KW - Banking and public and private finance - Investments and securities KW - Law and ethics - Corporations and securities law KW - Law and ethics - Law and jurisprudence KW - Law and ethics - Commercial law KW - Administration of justice - Crime and criminals KW - Securities KW - Corporate governance KW - Disclosure of information (securities law) KW - Fraud KW - Legislation KW - article UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/58806806?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Apais&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=The+Business+Lawyer&rft.atitle=The+Clawback+Provision+of+Sarbanes-Oxley%3A+An+Underutilized+Incentive+to+Keep+the+Corporate+House+Clean&rft.au=Schwartz%2C+Rachael+E&rft.aulast=Schwartz&rft.aufirst=Rachael&rft.date=2008-11-01&rft.volume=64&rft.issue=1&rft.spage=1&rft.isbn=&rft.btitle=&rft.title=The+Business+Lawyer&rft.issn=00076899&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2009-03-09 N1 - Last updated - 2016-09-28 N1 - SubjectsTermNotLitGenreText - Corporate governance; Securities; Disclosure of information (securities law); Legislation; Fraud ER - TY - JOUR T1 - Corporate bond market transaction costs and transparency AN - 36684427; 3432662 AB - Using a complete record of U.S. over-the-counter (OTC) secondary trades in corporate bonds, we estimate average transaction costs as a function of trade size for each bond that traded more than nine times between January 2003 and January 2005. We find that transaction costs decrease significantly with trade size. Highly rated bonds, recently issued bonds, and bonds close to maturity have lower transaction costs than do other bonds. Costs are lower for bonds with transparent trade prices, and they drop when the TRACE system starts to publicly disseminate their prices. The results suggest that public traders benefit significantly from price transparency. Reprinted by permission of Blackwell Publishing JF - Journal of finance AU - Edwards, Amy K AU - Harris, Lawrence E AU - Piwowar, Michael S AD - US Securities and Exchange Commission ; University of Southern California ; Securities Litigation and Consulting Group, Inc. Y1 - 2007 PY - 2007 DA - 2007 SP - 1421 EP - 1452 VL - 62 IS - 3 SN - 0022-1082, 0022-1082 KW - Economics KW - Corporate bonds KW - Over-the-counter market KW - Transparency KW - Bond market KW - Capital market KW - Transaction costs KW - Financial research KW - Capital returns KW - U.S.A. KW - Data analysis KW - Stockbrokers UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/36684427?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Journal+of+finance&rft.atitle=Corporate+bond+market+transaction+costs+and+transparency&rft.au=Edwards%2C+Amy+K%3BHarris%2C+Lawrence+E%3BPiwowar%2C+Michael+S&rft.aulast=Edwards&rft.aufirst=Amy&rft.date=2007-01-01&rft.volume=62&rft.issue=3&rft.spage=1421&rft.isbn=&rft.btitle=&rft.title=Journal+of+finance&rft.issn=00221082&rft_id=info:doi/ LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 4951 10902; 1693 1983 7711; 12911 2934; 12934 525 9705; 12286 8864; 1983 7711; 1998 1952 10304; 3279 971 3286; 433 293 14 ER - TY - JOUR T1 - Order preferencing, adverse-selection costs, and the probability of information-based trading AN - 36593373; 3387295 AB - Although prior studies offer various conjectures on the causes and consequences of order preferencing, there is only limited empirical evidence. In this study, we show that the extent of order preferencing is significantly and negatively related to both the adverse-selection component of the spread and the probability of information-based trading. This result is consistent with the prediction of the clientele-pricing hypothesis that dealers (brokers) selectively purchase (internalize) orders based on information content. Our results suggest that order preferencing may not be as harmful as some researchers have suggested and offer some rationale for its prevalence in securities markets with heterogeneously informed traders. Reprinted by permission of Springer JF - Review of quantitative finance and accounting AU - Chung, Kee H AU - Chuwonganant, Chairat AU - McCormick, D Timothy AD - State University of New York ; Indiana University ; Securities and Exchange Commission, Washington DC Y1 - 2006/12// PY - 2006 DA - Dec 2006 SP - 343 EP - 364 VL - 27 IS - 4 SN - 0924-865X, 0924-865X KW - Economics KW - Empirical tests KW - Financial information KW - Stock exchange KW - Financial analysis KW - Adverse selection KW - Preferences KW - U.S.A. KW - Stockbrokers UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/36593373?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Review+of+quantitative+finance+and+accounting&rft.atitle=Order+preferencing%2C+adverse-selection+costs%2C+and+the+probability+of+information-based+trading&rft.au=Chung%2C+Kee+H%3BChuwonganant%2C+Chairat%3BMcCormick%2C+D+Timothy&rft.aulast=Chung&rft.aufirst=Kee&rft.date=2006-12-01&rft.volume=27&rft.issue=4&rft.spage=343&rft.isbn=&rft.btitle=&rft.title=Review+of+quantitative+finance+and+accounting&rft.issn=0924865X&rft_id=info:doi/10.1007%2Fs11156-006-0042-3 LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 4913 3883 971; 12269 4930 6590; 12286 8864; 607; 10016; 4927 6515; 4202; 433 293 14 DO - http://dx.doi.org/10.1007/s11156-006-0042-3 ER - TY - GEN T1 - The Harm in Social Stigma: An Educational Rat-Race Game AN - 61703421; 200826399 AB - I consider a variation of Michael Spence's job market signaling game with a continuum of actors and discrete levels of education. I analyze the harm in social stigma by examining the effect of introducing a negative shock to the utility levels of the least educated members of society, compared to a world without stigma. When a stigma attaches to the bottom group, every individual - educated or not - in society suffers a welfare loss due to either lowered wages or higher signaling costs. This reduction in social welfare is due to the externality arising from the rat-race aspect of education. Significantly, in many instances the welfare loss from social stigma is not simply redistributed across all individuals but is magnified at equilibrium. Finally, I modify the model to consider the harm in social prestige and conclude that society's intangible reward for the social elite, too, may bring about overall welfare loss. JF - SSRN Working Paper Series AU - Lee, Yoon-Ho AD - U.S. Securities and Exchange Commission Y1 - 2006/10/21/ PY - 2006 DA - 2006 Oct 21 PB - Social Science Research Network (SSRN), Rochester NY KW - Education KW - Stigma KW - Signaling Game KW - Rat-Race KW - Labor Market KW - Games KW - Social Welfare KW - 0513: culture and social structure; culture (kinship, forms of social organization, social cohesion & integration, & social representations) KW - Education KW - Labor Market KW - Games KW - Stigma KW - Social Welfare KW - 0513: culture and social structure; culture (kinship, forms of social organization, social cohesion & integration, & social representations) UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/61703421?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Asocabs&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=preprint&rft.jtitle=SSRN+Working+Paper+Series&rft.atitle=The+Harm+in+Social+Stigma%3A+An+Educational+Rat-Race+Game&rft.au=Lee%2C+Yoon-Ho&rft.aulast=Lee&rft.aufirst=Yoon-Ho&rft.date=2006-10-21&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=&rft.title=SSRN+Working+Paper+Series&rft.issn=&rft_id=info:doi/ LA - English DB - Sociological Abstracts N1 - Date revised - 2008-10-01 N1 - Last updated - 2016-09-28 ER - TY - JOUR T1 - A specialist's quoted depth as a strategic choice variable: an application to spread decomposition models AN - 19443452; 6983043 AB - Although there is a sizable literature demonstrating that liquidity and transaction costs are multidimensional, researchers continue to estimate adverse-selection costs using only prices. We present a model of a profit-maximizing specialist who posts prices and depths. The model is simulated to measure changes in the adverse-selection component of the spread that result under different levels of informed trading. We find that spread decompositions fail to capture the full extent of adverse-selection risk when specialists choose depth. We recommend that researchers use adverse-selection measures that account for depth as well as spread to mitigate this problem. JF - Journal of Financial Research AU - Caglio, Cecilia AU - Kavajecz, Kenneth A AD - U.S. Securities and Exchange Commission Y1 - 2006/09// PY - 2006 DA - Sep 2006 SP - 367 EP - 382 PB - Blackwell Publishing Ltd., 9600 Garsington Road Oxford OX4 2DQ UK, [URL:http://www.blackwellpublishing.com] VL - 29 IS - 3 SN - 0270-2592, 0270-2592 KW - Risk Abstracts KW - Risk aversion KW - Profit maximization KW - Economics KW - R2 23070:Economics, organization UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/19443452?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ariskabstracts&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Journal+of+Financial+Research&rft.atitle=A+specialist%27s+quoted+depth+as+a+strategic+choice+variable%3A+an+application+to+spread+decomposition+models&rft.au=Caglio%2C+Cecilia%3BKavajecz%2C+Kenneth+A&rft.aulast=Caglio&rft.aufirst=Cecilia&rft.date=2006-09-01&rft.volume=29&rft.issue=3&rft.spage=367&rft.isbn=&rft.btitle=&rft.title=Journal+of+Financial+Research&rft.issn=02702592&rft_id=info:doi/10.1111%2Fj.1475-6803.2006.00184.x LA - English DB - ProQuest Environmental Science Collection N1 - Date revised - 2007-01-01 N1 - SuppNotes - Figures, 3; tables, 2; formulas, 24; references, 22. N1 - Last updated - 2015-04-01 N1 - SubjectsTermNotLitGenreText - Risk aversion; Profit maximization; Economics DO - http://dx.doi.org/10.1111/j.1475-6803.2006.00184.x ER - TY - NEWS T1 - Tale of the tape AN - 286012062 AB - -- Total stores: 30,000 (8,000 company owned, 18,000 operated by franchisees; 4,000 affiliates) -- Latest buzz: "America runs on Dunkin"' marketing campaign. JF - The Grand Rapids Press AU - Company documents, Securities and Exchange Commission filings Y1 - 2006/06/25/ PY - 2006 DA - 2006 Jun 25 EP - F5 CY - Grand Rapids, Mich. KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/286012062?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Amidwestnews1&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=The+Grand+Rapids+Press&rft.atitle=Tale+of+the+tape%3A+%5BAll+Editions%5D&rft.au=Company+documents%2C+Securities+and+Exchange+Commission+filings&rft.aulast=Company+documents&rft.aufirst=Securities+and+Exchange+Commission&rft.date=2006-06-25&rft.volume=&rft.issue=&rft.spage=F.5&rft.isbn=&rft.btitle=&rft.title=The+Grand+Rapids+Press&rft.issn=&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Name - Starbucks Corp N1 - Copyright - Copyright Grand Rapids Press Jun 25, 2006 N1 - Last updated - 2012-09-23 ER - TY - JOUR T1 - Open Forum: Fannie Faces Meaningful Sanction AN - 198373045 AB - In late May, Mr. Cox addressed a joint news conference outlining Fannie Mae's $400 million legal settlement with the Securities and Exchange Commission, and the Office of Federal Housing Enterprise Oversight. As part of the settlement, regulators formally accused Fannie Mae and certain former top officers of orchestrating a massive accounting fraud that lasted at least six years. The GSE is expected to restate prior years earnings downward by $10.6 billion. His remarks are presented as our Open Forum. JF - National Mortgage News AU - Christopher Cox Chairman, Securities and Exchange Commission Y1 - 2006/06/12/ PY - 2006 DA - 2006 Jun 12 SP - 4 CY - New York PB - SourceMedia VL - 30 IS - 36 SN - 10503331 KW - Business And Economics--Banking And Finance KW - Government sponsored enterprises KW - Settlements & damages KW - Securities regulations KW - Noncompliance KW - United States KW - US KW - 8120:Retail banking services KW - 4330:Litigation KW - 9190:United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/198373045?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Abankinginformation&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=National+Mortgage+News&rft.atitle=Open+Forum%3A+Fannie+Faces+Meaningful+Sanction&rft.au=Christopher+Cox+Chairman%2C+Securities+and+Exchange+Commission&rft.aulast=Christopher+Cox+Chairman&rft.aufirst=Securities+and+Exchange&rft.date=2006-06-12&rft.volume=30&rft.issue=36&rft.spage=4&rft.isbn=&rft.btitle=&rft.title=National+Mortgage+News&rft.issn=10503331&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Name - Fannie Mae N1 - Copyright - (Copyright c 2006 Thomson Media. All Rights Reserved.) N1 - Last updated - 2010-06-06 N1 - SubjectsTermNotLitGenreText - United States; US ER - TY - JOUR T1 - Stock returns, implied volatility innovations, and the asymmetric volatility phenomenon AN - 37756898; 3282796 AB - We study the dynamic relation between daily stock returns and daily innovations in option-derived implied volatilities. By simultaneously analyzing innovations in index- and firm-level implied volatilities, we distinguish between innovations in systematic and idiosyncratic volatility in an effort to better understand the asymmetric volatility phenomenon. Our results indicate that the relation between stock returns and innovations in systematic volatility (idiosyncratic volatility) is substantially negative (near zero). These results suggest that asymmetric volatility is primarily attributed to systematic market-wide factors rather than aggregated firm-level effects. We also present evidence that supports our assumption that innovations in implied volatility are good proxies for innovations in expected stock volatility. JF - Perspectives in energy AU - Dennis, Patrick AU - Mayhew, Stewart AU - Stivers, Chris AD - University of Virginia ; US Securities and Exchange Commission ; University of Georgia Y1 - 2006/06// PY - 2006 DA - Jun 2006 SP - 381 EP - 406 VL - 41 IS - 2 SN - 0961-1347, 0961-1347 KW - Economics KW - Innovation KW - Asymmetry KW - Stock returns KW - Enterprises KW - Volatility UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/37756898?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Perspectives+in+energy&rft.atitle=Stock+returns%2C+implied+volatility+innovations%2C+and+the+asymmetric+volatility+phenomenon&rft.au=Dennis%2C+Patrick%3BMayhew%2C+Stewart%3BStivers%2C+Chris&rft.aulast=Dennis&rft.aufirst=Patrick&rft.date=2006-06-01&rft.volume=41&rft.issue=2&rft.spage=381&rft.isbn=&rft.btitle=&rft.title=Perspectives+in+energy&rft.issn=09611347&rft_id=info:doi/ LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 12283 12290; 13349 13078; 4300; 1362 2688 2449 10404; 6564 12622 ER - TY - JOUR T1 - Volume,opinion divergence, and returns: a study of post-earnings announcement drift AN - 37701191; 3251330 AB - This paper examines the relationship between post-earnings announcement returns and different measures of volume at the earnings date. We find that post-event returns are strictly increasing in the component of volume that is unexplained by prior trading activity. We interpret unexplained volume as an indicator of opinion divergence among investors and conclude that post-event returns are increasing in ex ante opinion divergence. Our evidence is consistent with Varian [1985], who suggests that opinion divergence may be treated as an additional risk factor affecting asset prices. Reprinted by permission of Blackwell Publishing JF - Journal of accounting research AU - Garfinkel, Jon A AU - Sokobin, Jonathan AD - University of Iowa ; Securities and Exchange Commission Y1 - 2006/03// PY - 2006 DA - Mar 2006 SP - 85 EP - 112 VL - 44 IS - 1 SN - 0021-8456, 0021-8456 KW - Economics KW - Case studies KW - Trade KW - Capital returns KW - Divergence KW - Accounting KW - Functional analysis KW - Earnings KW - Opinion UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/37701191?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Journal+of+accounting+research&rft.atitle=Volume%2Copinion+divergence%2C+and+returns%3A+a+study+of+post-earnings+announcement+drift&rft.au=Garfinkel%2C+Jon+A%3BSokobin%2C+Jonathan&rft.aulast=Garfinkel&rft.aufirst=Jon&rft.date=2006-03-01&rft.volume=44&rft.issue=1&rft.spage=85&rft.isbn=&rft.btitle=&rft.title=Journal+of+accounting+research&rft.issn=00218456&rft_id=info:doi/10.1111%2Fj.1475-679X.2006.00193.x LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 8954; 3648; 1998 1952 10304; 2056 10902; 3833 8235; 12812; 5345 971; 528 4937 7625 DO - http://dx.doi.org/10.1111/j.1475-679X.2006.00193.x ER - TY - NEWS T1 - New guidelines AN - 286009299 AB - -- Executive perks topping $10,000; previous threshold $50,000. JF - The Grand Rapids Press AU - Securities and Exchange Commission AU - online at sec.gov Y1 - 2006/01/18/ PY - 2006 DA - 2006 Jan 18 EP - D1 CY - Grand Rapids, Mich. KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/286009299?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Amidwestnews1&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=The+Grand+Rapids+Press&rft.atitle=New+guidelines%3A+%5BAll+Editions%5D&rft.au=Securities+and+Exchange+Commission%3Bonline+at+sec.gov&rft.aulast=Securities+and+Exchange+Commission&rft.aufirst=&rft.date=2006-01-18&rft.volume=&rft.issue=&rft.spage=D.1&rft.isbn=&rft.btitle=&rft.title=The+Grand+Rapids+Press&rft.issn=&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Copyright - Copyright Grand Rapids Press Jan 18, 2006 N1 - Last updated - 2012-09-23 ER - TY - JOUR T1 - Strategies and benefits of developing a market for government securities AN - 954616189; 14394550 AB - Purpose - The purpose of this essay is to formulate practical steps in establishing a market for government securities. When such a market does not exist two issues are of critical importance: establish the credibility of the issuer, and create the trading avenues. Design/methodology/approach - On the issue of creating the trading avenues, there is a discussion about market design and its parameters. The essay addresses issues like access to trading platforms, depositories and settlement standards as great determinants of market design. Findings - The case of Colombia demonstrates that a market for government securities can be created out of sound decisions that stimulate participation by various financial institutions. The study also discusses the real benefits of having developed such a market, in terms of the cost/risk and the institutional building components. However, despite the progress, the Colombian case also shows that issuer credibility and design are not enough in the long term. Maturing markets require also coherence of many other different components. To achieve this, the paper proposes that the overall level of training of market participants is a decisive element for markets to face ever growing challenges of competition from other markets and investor demands. Originality/value - This essay is especially intended for public officials in emerging economies who are developing local markets for government securities, since it is full of practical recommendations to implement at specific events in primary and secondary markets. JF - Journal of Financial Regulation and Compliance AU - Lucio, Juan Fernando AD - Securities and Exchange Commission of Colombia, Bogota, Colombia Y1 - 2006 PY - 2006 DA - 2006 SP - 47 EP - 56 PB - Emerald Group Publishing Limited, 60-62 Toller Lane Bradford West Yorkshire BD8 9BY UK VL - 14 IS - 1 SN - 1358-1988, 1358-1988 KW - Risk Abstracts KW - investors KW - Training KW - Compliance KW - security KW - Colombia KW - Economics KW - competition KW - R2 23070:Economics, organization UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/954616189?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ariskabstracts&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Journal+of+Financial+Regulation+and+Compliance&rft.atitle=Strategies+and+benefits+of+developing+a+market+for+government+securities&rft.au=Lucio%2C+Juan+Fernando&rft.aulast=Lucio&rft.aufirst=Juan&rft.date=2006-01-01&rft.volume=14&rft.issue=1&rft.spage=47&rft.isbn=&rft.btitle=&rft.title=Journal+of+Financial+Regulation+and+Compliance&rft.issn=13581988&rft_id=info:doi/10.1108%2F13581980610644752 LA - English DB - ProQuest Environmental Science Collection N1 - Date revised - 2012-03-01 N1 - Last updated - 2012-03-30 N1 - SubjectsTermNotLitGenreText - Training; investors; Economics; Compliance; security; competition; Colombia DO - http://dx.doi.org/10.1108/13581980610644752 ER - TY - JOUR T1 - A Knowledge Management system framework for governmental regulating processes. AN - 57638266; 489246 AB - In the domain of e-government, knowledge plays an important role in enhancing the effectiveness of e-government service provision, administrative processes and regulating processes. It comprises four kinds: terminological (or ontological), factual, empirical and regulatory. With an emphasis on governmental regulating processes, this paper proposes a framework for the modelling and management of as well as reasoning with these four types of knowledge by means of prominent Semantic Web languages, namely RDF and OWL. Moreover, the framework provides additional descriptive facilities on top of such languages by employment of XML Declarative Description (XDD) theory; hence, enabling semantic representation of arbitrary axioms, rules and constraints the key components in regulatory knowledge. Examples from a prototype of a Knowledge Management (KM) system for the regulating process of the Securities and Exchange Commission of Thailand are presented. They can also be applied to other regulatory agencies. (Author abstract) JF - Electronic Government AU - Teswanich, Wajee AU - Anutariya, Chutiporn AU - Wuwongse, Vilas AD - Information Technology Department, Office of the Securities and Exchange Commission, 15th Floor, Diethelm Towers B, 93/1 Wireless Road, Lumpini, Patumwan, Bangkok 10330, Thailand Y1 - 2006///0, PY - 2006 DA - 0, 2006 SP - 56 EP - 73 PB - Inderscience Enterprises Ltd VL - 3 IS - 1 SN - 1740-7494, 1740-7494 KW - Knowledge management KW - Public services KW - Regulation KW - Semantic web KW - 14.11: COMMUNICATIONS AND INFORMATION TECHNOLOGY - NETWORKS UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/57638266?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Alisa&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Electronic+Government&rft.atitle=A+Knowledge+Management+system+framework+for+governmental+regulating+processes.&rft.au=Teswanich%2C+Wajee%3BAnutariya%2C+Chutiporn%3BWuwongse%2C+Vilas&rft.aulast=Teswanich&rft.aufirst=Wajee&rft.date=2006-01-01&rft.volume=3&rft.issue=1&rft.spage=56&rft.isbn=&rft.btitle=&rft.title=Electronic+Government&rft.issn=17407494&rft_id=info:doi/10.1504%2FEG.2006.008492 LA - English DB - Library & Information Science Abstracts (LISA) N1 - Date revised - 2007-04-23 N1 - Last updated - 2016-09-27 N1 - SubjectsTermNotLitGenreText - Public services; Regulation; Knowledge management; Semantic web DO - http://dx.doi.org/10.1504/EG.2006.008492 ER - TY - JOUR T1 - The sensitivity of effective spread estimates to trade-quote matching algorithms AN - 36478137; 3343349 AB - We find that effective spread estimates are sensitive to trade-quote matching algorithms. In particular, Lee and Ready's 5-second algorithm can overestimate effective spreads for active stocks. The sensitivities can be particularly important for stocks in which a significant amount of trading occurs electronically. We develop a criterion to determine the optimal algorithm and demonstrate that it provides consistent and appropriate estimates. We demonstrate that a simple algorithm of matching trades with contemporaneous quotes provides good estimates of effective spreads during our sample period. We also document that using trade execution times, instead of report times, to match trades with quotes can reduce effective spread estimates by 0.24 cents, or about 3%, for active stocks. Reprinted by permission of Springer JF - Electronic markets AU - Piwowar, Michael S AU - Wei, Li AD - US Securities and Exchange Commission ; New York Stock Exchange Y1 - 2006 PY - 2006 DA - 2006 SP - 112 EP - 129 VL - 16 IS - 2 SN - 1019-6781, 1019-6781 KW - Economics KW - Costs KW - Stock exchange KW - Trade KW - Market analysis KW - Algorithms KW - Information and communication technologies KW - Stockbrokers UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/36478137?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Electronic+markets&rft.atitle=The+sensitivity+of+effective+spread+estimates+to+trade-quote+matching+algorithms&rft.au=Piwowar%2C+Michael+S%3BWei%2C+Li&rft.aulast=Piwowar&rft.aufirst=Michael&rft.date=2006-01-01&rft.volume=16&rft.issue=2&rft.spage=112&rft.isbn=&rft.btitle=&rft.title=Electronic+markets&rft.issn=10196781&rft_id=info:doi/10.1080%2F10196780600643803 LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 12269 4930 6590; 7715 3883 971; 12812; 12286 8864; 6518; 918 7824; 2934 DO - http://dx.doi.org/10.1080/10196780600643803 ER - TY - GEN T1 - Competition, Consumer Welfare, and the Social Cost of Monopoly AN - 61682275; 200826965 AB - Conventional deadweight loss measures of the social cost of monopoly ignore, among other things, the social cost of inducing competition and thus cannot accurately capture the loss in social welfare. In this Article, we suggest an alternative method of measuring the social cost of monopoly. Using elements of general equilibrium theory, we propose a social cost metric where the benchmark is the Pareto optimal state of the economy that uses the least amount of resources, consistent with consumers' utility levels in the monopolized state. If the primary goal of antitrust policy is the enhancement of consumer welfare, then the proper benchmark is Pareto optimality, not simply competitive markets. We discuss the implications of our approach for antitrust law as well as how our methodology can be used in practice for allegations of monopoly power given a history of price-demand observations. JF - SSRN Working Paper Series AU - Lee, Yoon-Ho AU - Brown, Donald AD - U.S. Securities and Exchange Commission Y1 - 2005/08/11/ PY - 2005 DA - 2005 Aug 11 PB - Social Science Research Network (SSRN), Rochester NY KW - Monopoly power KW - Antitrust economics KW - Applied general equilibrium KW - Costs KW - Monopolies KW - Power KW - Consumers KW - Markets KW - Competition KW - Economic Policy KW - Social Welfare KW - 0715: social change and economic development; social change & economic development KW - Costs KW - Monopolies KW - Power KW - Consumers KW - Markets KW - Competition KW - Economic Policy KW - Social Welfare KW - 0715: social change and economic development; social change & economic development UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/61682275?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Asocabs&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=preprint&rft.jtitle=SSRN+Working+Paper+Series&rft.atitle=Competition%2C+Consumer+Welfare%2C+and+the+Social+Cost+of+Monopoly&rft.au=Lee%2C+Yoon-Ho%3BBrown%2C+Donald&rft.aulast=Lee&rft.aufirst=Yoon-Ho&rft.date=2005-08-11&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=&rft.title=SSRN+Working+Paper+Series&rft.issn=&rft_id=info:doi/ LA - English DB - Sociological Abstracts N1 - Date revised - 2008-10-01 N1 - Last updated - 2016-09-28 ER - TY - JOUR T1 - Position limits for cash-settled derivative contracts AN - 17376353; 6432892 AB - Cash settlement of derivative contracts makes them susceptible to manipulation by traders who expect to close large positions upon final settlement. Cash settlement also increases underlying volatility when hedgers unwind their hedges if they have no incentives to control their trading costs. Limits on the positions that traders can carry into final settlement can be used to mitigate associated economic inefficiencies when surveillance is insufficient. This article develops a model that regulators can use to set these limits that is based upon microstructure theory. The empirical findings indicate that existing position limits are largely inconsistent with those suggested by the model. JF - Journal of Futures Markets AU - Dutt, Hans R AU - Harris, Lawrence E AD - U.S. Securities and Exchange Commission (SEC), Washington, D.C., dutth@sec.gov Y1 - 2005 PY - 2005 DA - 2005 SP - 945 EP - 965 PB - John Wiley & Sons, Inc., 111 River Street Hoboken NJ 07030 USA, [mailto:custserv@wiley.com], [URL:http://www.wiley.com/] VL - 25 IS - 10 SN - 0270-7314, 0270-7314 KW - cash settlement KW - Risk Abstracts KW - Contracts KW - futures market KW - Ethics KW - Economics KW - derivatives KW - uncertainty KW - R2 23070:Economics, organization UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/17376353?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ariskabstracts&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Journal+of+Futures+Markets&rft.atitle=Position+limits+for+cash-settled+derivative+contracts&rft.au=Dutt%2C+Hans+R%3BHarris%2C+Lawrence+E&rft.aulast=Dutt&rft.aufirst=Hans&rft.date=2005-01-01&rft.volume=25&rft.issue=10&rft.spage=945&rft.isbn=&rft.btitle=&rft.title=Journal+of+Futures+Markets&rft.issn=02707314&rft_id=info:doi/10.1002%2Ffut.20179 LA - English DB - ProQuest Environmental Science Collection N1 - Date revised - 2006-05-01 N1 - Last updated - 2015-03-25 N1 - SubjectsTermNotLitGenreText - Contracts; futures market; Ethics; Economics; derivatives; uncertainty DO - http://dx.doi.org/10.1002/fut.20179 ER - TY - NEWS T1 - INSIDE THE FUND PROSPECTUS AN - 402383307 AB - This section provides audited information for the fund's financial performance in the previous five years. Here, you'll find net asset values - the value of a fund share based on a fund's overall worth - as well as total returns and various ratios, including the ratio of expenses to average net assets, the ratio of net income to average net assets and the portfolio turnover rate. Those tidbits can be meaningful to educated investors. A high portfolio turnover rate can signal higher fund expenses because of the cost for buying and selling stocks. JF - St. Louis Post - Dispatch AU - Securities and Exchange Commission Y1 - 2004/02/08/ PY - 2004 DA - 2004 Feb 08 CY - St. Louis, Mo. SN - 19309600 KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/402383307?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Anorthcentralnews&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=St.+Louis+Post+-+Dispatch&rft.atitle=INSIDE+THE+FUND+PROSPECTUS%3A+%5BFIVE+STAR+LIFT+EDITION%5D&rft.au=Securities+and+Exchange+Commission&rft.aulast=Securities+and+Exchange+Commission&rft.aufirst=&rft.date=2004-02-08&rft.volume=&rft.issue=&rft.spage=E.3&rft.isbn=&rft.btitle=&rft.title=St.+Louis+Post+-+Dispatch&rft.issn=19309600&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Copyright - Copyright Pulitzer Publishing Company Feb 8, 2004 N1 - Last updated - 2010-08-20 ER - TY - BOOK T1 - The transformation of Wall Street: a history of the Securities and Exchange Commission and modern corporate finance AN - 866976337; 4195249 JF - The transformation of Wall Street: a history of the Securities and Exchange Commission and modern corporate finance AU - Seligman, Joel Y1 - 2003 PY - 2003 DA - 2003 SP - 934 EP - xxiii, 934 PB - Aspen Publishers SN - 9780735544352 KW - Economics KW - Financial systems KW - Organizational analysis KW - Capital market KW - Securities issues KW - History KW - Financial regulation KW - Corporate finance KW - Enterprises KW - U.S.A. KW - Investment KW - Financial history UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/866976337?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/International+Bibliography+of+the+Social+Sciences+%28IBSS%29&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=Seligman%2C+Joel&rft.aulast=Seligman&rft.aufirst=Joel&rft.date=2003-01-01&rft.volume=&rft.issue=&rft.spage=xxiii&rft.isbn=9780735544352&rft.btitle=The+transformation+of+Wall+Street%3A+a+history+of+the+Securities+and+Exchange+Commission+and+modern+corporate+finance&rft.title=The+transformation+of+Wall+Street%3A+a+history+of+the+Securities+and+Exchange+Commission+and+modern+corporate+finance&rft.issn=&rft_id=info:doi/ LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 ER - TY - JOUR T1 - The changing face of corporate financial regulation AN - 51693212; 2005-052791 AB - New legislation and regulations and the Securities and Exchange Commission's renewed emphasis on attacking financial fraud and corporate reporting violations has changed the climate for financial reporting by publicly-held companies. The Sarbanes-Oxley Act of 2002 and the new regulations promulgated under that law will be discussed, as will other initiatives by the Securities and Exchange Commission, the New York Stock Exchange and the National Association of Securities Dealers. There will also be a discussion of significant enforcement actions by the Securities and Exchange Commission in the area of financial reporting. The views expressed will be those of the speaker and will not necessarily reflect the views of the Commission. JF - Annual Meeting Expanded Abstracts - American Association of Petroleum Geologists AU - Israel, Kenneth AU - Chidsey, Thomas C, Jr Y1 - 2003 PY - 2003 DA - 2003 SP - 83 PB - American Association of Petroleum Geologists and Society of Economic Paleontologists and Mineralogists (AAPG), Tulsa, OK VL - 12 SN - 0094-0038, 0094-0038 KW - regulations KW - legislation KW - petroleum KW - economics KW - 29B:Economic geology, economics of energy sources UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/51693212?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ageorefmodule&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Annual+Meeting+Expanded+Abstracts+-+American+Association+of+Petroleum+Geologists&rft.atitle=The+changing+face+of+corporate+financial+regulation&rft.au=Israel%2C+Kenneth%3BChidsey%2C+Thomas+C%2C+Jr&rft.aulast=Israel&rft.aufirst=Kenneth&rft.date=2003-01-01&rft.volume=12&rft.issue=&rft.spage=83&rft.isbn=&rft.btitle=&rft.title=Annual+Meeting+Expanded+Abstracts+-+American+Association+of+Petroleum+Geologists&rft.issn=00940038&rft_id=info:doi/ LA - English DB - GeoRef N1 - Conference title - AAPG annual convention with SEPM N1 - Copyright - GeoRef, Copyright 2012, American Geosciences Institute. Reference includes data supplied by American Association of Petroleum Geologists, Tulsa, OK, United States N1 - Date revised - 2005-01-01 N1 - PubXState - OK N1 - SuppNotes - Available on compact disc and on paper N1 - Last updated - 2012-06-07 N1 - CODEN - APGAB2 N1 - SubjectsTermNotLitGenreText - economics; legislation; petroleum; regulations ER - TY - JOUR T1 - The SEC on corporate recovery (Point of View) AN - 233806914 AB - In 2000, when the Securities Regulation Code transferred the jurisdiction of corporate recovery cases to the regular courts, the Securities and Exchange Commission (SEC) was relieved of a great burden. Heretofore, the SEC had the responsibility of hearing and deciding petitions for corporate recovery - a task that required the acuity and skill of an expert juggler in a perpetual balancing act, caught between the competing interest of the debtor and its creditors. Similarly, unsecured creditors must also be allowed to maximize the benefits of a corporate recovery proceeding. Indeed, unsecured creditors have often been at the short end of the stick and rarely benefit from a debtor's liquidation. Even in rehabilitation cases which were handled by the SEC, there had been instances when the exposure of unsecured creditors in a petitioning company was just as considerable, if not greater than the exposure of the secured. The Commission, in at least one case, had to resort to a "cram down," if only to give the unsecured creditors some chance to recover. Specifically, the costs of allowing securities brokers to avail themselves of the provisions of the proposed corporate recovery law include the following: * Since all creditors are treated pari passu when corporate recovery proceedings are under way, the immediate settlement of the securities transactions of a broker debtor with his customers and counterparties could be severely compromised, as any preference given to the latter could be derailed by objections of the other creditors, thus affecting the capital market's liquidity. * Because of the rule requiring the approval of each class of creditors for a plan or course of action under a rehabilitation, the satisfaction of claims in securities transactions could be beholden to the whims of one or more classes of creditors. * Delays and failures in the immediate settlement of securities transactions could create systemic risks and trigger an "unwind," or worse, a devastating "domino effect," whereby counter parties would likewise default on their obligations and deplete the guarantee funds (SIPF, CTGF), and consequently lead to the collapse of the market. * Foreign investors would be discouraged from entering the Philippine capital market where they perceive that their expectations of gains and profits could be easily thwarted by the consequences of rehabilitation proceedings. JF - BusinessWorld AU - Lilia R. Bautista, Chairman, Securities and Exchange Commission Y1 - 2002/07/03/ PY - 2002 DA - 2002 Jul 03 SP - 1 CY - Manila PB - The Financial Times Limited SN - 01163930 KW - Business And Economics--Chamber of Commerce Publications UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/233806914?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aasianbusiness&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=BusinessWorld&rft.atitle=The+SEC+on+corporate+recovery+%28Point+of+View%29&rft.au=Lilia+R.+Bautista%2C+Chairman%2C+Securities+and+Exchange+Commission&rft.aulast=Lilia+R.+Bautista&rft.aufirst=Chairman&rft.date=2002-07-03&rft.volume=&rft.issue=&rft.spage=1&rft.isbn=&rft.btitle=&rft.title=BusinessWorld&rft.issn=01163930&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Name - Securities & Exchange Commission N1 - Copyright - (Copyright 2002. Financial Times Information Limited - Asia AfricaIntelligence Wire. All Material Subject to Copyright.) N1 - Last updated - 2010-06-11 ER - TY - BOOK T1 - Annual report & accounts, 2001 AN - 59874774; 2003-1001170 AB - Reports and accounts for the year ended 31st December 2001; reviews the economy, capital and secondary markets, and activities and functions of the Securities and Exchange Commission; includes auditor's report. JF - Nigeria Securities and Exchange Commission, 2002. 124 pp. Y1 - 2002///0, PY - 2002 DA - 0, 2002 SP - 124 PB - Nigeria Securities and Exchange Commission KW - Stock exchanges -- Nigeria KW - Securities marketing -- Nigeria KW - Nigeria -- Economic conditions UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59874774?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=&rft.aulast=&rft.aufirst=&rft.date=2002-01-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=Annual+report+%26+accounts%2C+2001&rft.title=Annual+report+%26+accounts%2C+2001&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Nigeria Securities and Exchange Comm pa N1 - Document feature - chart(s), il(s), table(s) N1 - Last updated - 2016-09-28 ER - TY - BOOK T1 - Interagency white paper on structural change in the settlement of government securities: issues and options AN - 59844844; 2002-0607330 AB - Identifies possible structural approaches and evaluation criteria for assessing them in describing ways a utility might be organized: proposes and assesses three options for addressing vulnerabilities of government securities; special reference to Sept. 11, 2001 attacks; US. Three options: clearing banks and key market participants implementing more robust contingency arrangements; each primary dealer establishing a backup clearing arrangement at a bank other than its existing clearing bank; and implementing structural change such as by establishing a utility to conduct settlement. JF - United States Securities and Exchange Commission, 2002. Y1 - 2002///0, PY - 2002 DA - 0, 2002 PB - United States Securities and Exchange Commission KW - United States -- Finance KW - September 11, 2001 attacks KW - Bonds, Government -- United States KW - Securities -- United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59844844?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=&rft.aulast=&rft.aufirst=&rft.date=2002-01-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=Interagency+white+paper+on+structural+change+in+the+settlement+of+government+securities%3A+issues+and+options&rft.title=Interagency+white+paper+on+structural+change+in+the+settlement+of+government+securities%3A+issues+and+options&rft.issn=&rft_id=info:doi/ L2 - http://www.sec.gov/rules/concept/34-45879.htm LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - U S Securities and Exchange Comm N1 - Last updated - 2016-09-28 ER - TY - NEWS T1 - Y2K SPENDING AN - 256170042 JF - Hartford Courant AU - Source: Company reports to Securities And Exchange Commission Y1 - 1999/10/17/ PY - 1999 DA - 1999 Oct 17 EP - K7 CY - Hartford, Conn. SN - 10474153 KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/256170042?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Anortheastnews1&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Hartford+Courant&rft.atitle=Y2K+SPENDING%3A+%5BSTATEWIDE+EDITION%5D&rft.au=Source%3A+Company+reports+to+Securities+And+Exchange+Commission&rft.aulast=Source%3A+Company+reports+to+Securities+And+Exchange+Commission&rft.aufirst=&rft.date=1999-10-17&rft.volume=&rft.issue=&rft.spage=K.7&rft.isbn=&rft.btitle=&rft.title=Hartford+Courant&rft.issn=10474153&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Copyright - (Copyright @ The Hartford Courant 1999) N1 - Last updated - 2011-09-16 ER - TY - JOUR T1 - Costly search and mutual fund flows AN - 1282037857; 4391226 AB - This paper studies the flows of funds into and out of equity mutual funds. Consumers base their fund purchase decisions on prior performance information, but do so asymmetrically, investing disproportionately more in funds that performed very well the prior period. Search costs seem to be an important determinant of fund flows. High performance appears to be most salient for funds that exert higher marketing effort, as measured by higher fees. Flows are directly related to the size of the fund's complex as well as the current media attention received by the fund, which lower consumers' search costs. Reprinted by permission of Blackwell Publishing JF - Journal of finance AU - Sirri, Erik R AU - Tufano, Peter AD - Harvard University ; US Securities and Exchange Commission Y1 - 1998/10// PY - 1998 DA - Oct 1998 SP - 1589 EP - 1622 VL - 53 IS - 5 SN - 0022-1082, 0022-1082 KW - Economics KW - Asymmetric information KW - Investment trusts KW - Marketing KW - Economic performance KW - Consumers KW - Equity UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/1282037857?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Aibss&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Journal+of+finance&rft.atitle=Costly+search+and+mutual+fund+flows&rft.au=Sirri%2C+Erik+R%3BTufano%2C+Peter&rft.aulast=Sirri&rft.aufirst=Erik&rft.date=1998-10-01&rft.volume=53&rft.issue=5&rft.spage=1589&rft.isbn=&rft.btitle=&rft.title=Journal+of+finance&rft.issn=00221082&rft_id=info:doi/10.1111%2F0022-1082.00066 LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 N1 - SubjectsTermNotLitGenreText - 6887 13017 4908; 2803 3874 556; 1361 6515; 3974 9390; 7738 11245 11239; 4380 DO - http://dx.doi.org/10.1111/0022-1082.00066 ER - TY - BOOK T1 - Report and accounts for the year ended 31st December, 1997 AN - 59972052; 1999-1001970 AB - Reviews the economy, capital and secondary markets, and the activities and functions of the Securities and Exchange Commission; includes auditor's report; Nigeria. JF - Nigeria Securities and Exchange Commission, 1998. 133 pp. Y1 - 1998///0, PY - 1998 DA - 0, 1998 SP - 133 PB - Nigeria Securities and Exchange Commission KW - Stock exchanges -- Nigeria KW - Securities marketing -- Nigeria KW - Nigeria -- Economic conditions UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59972052?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=&rft.aulast=&rft.aufirst=&rft.date=1998-01-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=Report+and+accounts+for+the+year+ended+31st+December%2C+1997&rft.title=Report+and+accounts+for+the+year+ended+31st+December%2C+1997&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Nigeria Securities and Exchange Comm pa N1 - Document feature - table(s), chart(s) N1 - Last updated - 2016-09-28 ER - TY - BOOK T1 - The impact of recent technological advances on the securities markets: report to the Congress AN - 59782131; 1998-0706430 AB - How technology has changed the way markets operate; analyzes current trends and their impacts on public companies, the mutual fund industry, investment advisers, and secondary market; US. JF - United States Securities and Exchange Commission, September 1997. Y1 - 1997/09// PY - 1997 DA - September 1997 PB - United States Securities and Exchange Commission KW - United States -- Finance KW - Stock market -- United States KW - Securities marketing -- United States KW - Technological innovations -- Economic aspects KW - Investment trusts -- United States KW - Financial intermediaries -- United States KW - United States -- Securities and exchange commission KW - Investments -- United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59782131?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=&rft.aulast=&rft.aufirst=&rft.date=1997-09-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=The+impact+of+recent+technological+advances+on+the+securities+markets%3A+report+to+the+Congress&rft.title=The+impact+of+recent+technological+advances+on+the+securities+markets%3A+report+to+the+Congress&rft.issn=&rft_id=info:doi/ L2 - http://www.sec.gov/news/studies/techrp97.htm LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - U S Securities and Exchange Comm N1 - Document feature - bibl(s) N1 - Last updated - 2016-09-28 ER - TY - BOOK T1 - Privatization of EDGAR: report to the Congress on Section 107 of the National Securities Markets Improvement Act of 1996 AN - 59779744; 1998-0706490 AB - Electronic Data Gathering, Analysis, and Retrieval (EDGAR). Reasons for privatizing electronic access to required financial disclosures of public companies and others, and how the Securities and Exchange Commission (SEC) will monitor and regulate the private service; US. JF - United States Securities and Exchange Commission, September 1997. Y1 - 1997/09// PY - 1997 DA - September 1997 PB - United States Securities and Exchange Commission KW - United States -- Finance -- Regulation KW - Business information -- Information sources KW - Government regulation of business -- United States KW - Electronic publishing -- United States KW - Privatization -- United States KW - Securities marketing -- Information processing systems KW - United States -- Securities and exchange commission KW - Disclosure of information (securities law) -- United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59779744?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=&rft.aulast=&rft.aufirst=&rft.date=1997-09-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=Privatization+of+EDGAR%3A+report+to+the+Congress+on+Section+107+of+the+National+Securities+Markets+Improvement+Act+of+1996&rft.title=Privatization+of+EDGAR%3A+report+to+the+Congress+on+Section+107+of+the+National+Securities+Markets+Improvement+Act+of+1996&rft.issn=&rft_id=info:doi/ L2 - http://www.sec.gov/news/studies/edgpriv.htm LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - U S Securities and Exchange Comm N1 - Last updated - 2016-09-28 ER - TY - NEWS T1 - UNITED GROCERS' FINANCIAL PERFORMANCE AN - 417387115 JF - The Oregonian AU - Source: United Grocers Inc.'s Form 10-K Filing with the Securities and Exchange Commission for the fiscal year ended Sept. 27, 1996 By: Lisa Remillard/the Oregonian Y1 - 1997/05/09/ PY - 1997 DA - 1997 May 09 EP - D01 CY - Portland, Or. KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/417387115?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Awestnews&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=The+Oregonian&rft.atitle=UNITED+GROCERS%27+FINANCIAL+PERFORMANCE%3A+%5BSUNRISE+EDITION%5D&rft.au=Source%3A+United+Grocers+Inc.%27s+Form+10-K+Filing+with+the+Securities+and+Exchange+Commission+for+the+fiscal+year+ended+Sept.+27%2C+1996+By%3A+Lisa+Remillard%2Fthe+Oregonian&rft.aulast=Source%3A+United+Grocers+Inc.%27s+Form+10-K+Filing+with+the+Securities+and+Exchange+Commission+for+the+fiscal+year+ended+Sept.+27&rft.aufirst=1996+By%3A+Lisa+Remillard%2Fthe&rft.date=1997-05-09&rft.volume=&rft.issue=&rft.spage=D.01&rft.isbn=&rft.btitle=&rft.title=The+Oregonian&rft.issn=&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Copyright - Copyright Oregonian Publishing Company May 9, 1997 N1 - Last updated - 2013-11-09 ER - TY - NEWS T1 - PRUNING U.S. BANCORP AN - 417354878 JF - The Oregonian AU - the Oregonian Source: First Bank Systems Inc. via Securities and Exchange Commission Y1 - 1997/04/04/ PY - 1997 DA - 1997 Apr 04 EP - C01 CY - Portland, Or. KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/417354878?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Awestnews&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=The+Oregonian&rft.atitle=PRUNING+U.S.+BANCORP%3A+%5BSUNRISE+EDITION%5D&rft.au=the+Oregonian+Source%3A+First+Bank+Systems+Inc.+via+Securities+and+Exchange+Commission&rft.aulast=the+Oregonian+Source%3A+First+Bank+Systems+Inc.+via+Securities+and+Exchange+Commission&rft.aufirst=&rft.date=1997-04-04&rft.volume=&rft.issue=&rft.spage=C.01&rft.isbn=&rft.btitle=&rft.title=The+Oregonian&rft.issn=&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Copyright - Copyright Oregonian Publishing Company Apr 4, 1997 N1 - Last updated - 2013-11-09 ER - TY - JOUR T1 - Technology takes to securities trading AN - 15940371; 271492 AB - From stock offerings conducted entirely over the Internet, to the automation of traditional exchanges, technology is changing the way stock markets work. It permits qualitatively different types of trading structures to emerge. The market innovations generated by technology to date have been positive because they made markets better suited to their users. JF - IEEE Spectrum AU - Wallman, Steven MH AD - US Securities and Exchange Commission, Washington, DC, USA Y1 - 1997 PY - 1997 DA - 1997 SP - 60 EP - 65 PB - IEEE, PISCATAWAY, NJ, (USA) VL - 34 IS - 2 SN - 0018-9235, 0018-9235 KW - Internet KW - Over the counter market KW - Data communication systems KW - Technology transfer KW - Marketing KW - Security of data KW - Laws and legislation KW - Financial data processing KW - Biotechnology and Bioengineering Abstracts; Bioengineering Abstracts KW - W4 901.4:IMPACT OF TECHNOLOGY ON SOCIETY KW - W4 723.2:DATA PROCESSING KW - W4 902.3:LEGAL ASPECTS KW - W4 911.2:INDUSTRIAL ECONOMICS KW - W4 911.4:MARKETING KW - W4 911.1:COST ACCOUNTING KW - W 30965:Miscellaneous, Reviews UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/15940371?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Abiotechresearch&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=IEEE+Spectrum&rft.atitle=Technology+takes+to+securities+trading&rft.au=Wallman%2C+Steven+MH&rft.aulast=Wallman&rft.aufirst=Steven&rft.date=1997-01-01&rft.volume=34&rft.issue=2&rft.spage=60&rft.isbn=&rft.btitle=&rft.title=IEEE+Spectrum&rft.issn=00189235&rft_id=info:doi/ LA - English DB - ProQuest Environmental Science Collection N1 - Date revised - 2006-11-01 N1 - Last updated - 2011-12-14 ER - TY - BOOK T1 - Facts and figures on the Nigerian capital market AN - 59762600; 1997-0809490 AB - Reviews economic indicators, interest and exchange rates, stock exchange transactions, capital flows and investments, companies listed on the stock exchange, and other data; 1995, with retrospective statistics. JF - Nigeria Securities and Exchange Commission, December 1996. 44 pp. Y1 - 1996/12// PY - 1996 DA - December 1996 SP - 44 PB - Nigeria Securities and Exchange Commission KW - Stock exchanges -- Nigeria KW - Investments -- Nigeria KW - Nigeria -- Economic conditions -- Statistics KW - Nigeria -- Finance -- Statistics KW - Foreign exchange -- Nigeria KW - Stock brokers -- Nigeria KW - Securities marketing UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59762600?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=&rft.aulast=&rft.aufirst=&rft.date=1996-12-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=Facts+and+figures+on+the+Nigerian+capital+market&rft.title=Facts+and+figures+on+the+Nigerian+capital+market&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Nigeria Securities and Exchange Comm N1 - Document feature - table(s), chart(s) N1 - SuppNotes - 5th ed. N1 - Last updated - 2016-09-28 ER - TY - BOOK T1 - Report and accounts for the year ended 31st December, 1995 AN - 59759915; 1997-0808170 AB - Reviews the economy, capital and secondary markets, and the activities and functions of the Securities and Exchange Commission; includes auditor's report; Nigeria. JF - Nigeria Securities and Exchange Commission, 1996. iv+106 pp. Y1 - 1996///0, PY - 1996 DA - 0, 1996 EP - iv+106 PB - Nigeria Securities and Exchange Commission KW - Stock exchanges -- Nigeria KW - Nigeria -- Economic conditions KW - Securities marketing -- Regulation UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59759915?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=&rft.aulast=&rft.aufirst=&rft.date=1996-01-01&rft.volume=&rft.issue=&rft.spage=iv%2B106&rft.isbn=&rft.btitle=Report+and+accounts+for+the+year+ended+31st+December%2C+1995&rft.title=Report+and+accounts+for+the+year+ended+31st+December%2C+1995&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Nigeria Securities and Exchange Comm pa N1 - Document feature - table(s), chart(s) N1 - Last updated - 2016-09-28 ER - TY - BOOK T1 - The secondary market in securities transactions AN - 59759622; 1997-0811210 AB - Describes institutions for the transfer of existing securities among investors; instruments, types of investors, regulatory frameworks, and other aspects of the stock exchange and over-the-counter markets; Nigeria. Reprinted from SEC Quarterly, v. 10, no. 2. Information for novice investors. JF - Nigeria Securities and Exchange Commission, 1996. 30 pp. Y1 - 1996///0, PY - 1996 DA - 0, 1996 SP - 30 PB - Nigeria Securities and Exchange Commission KW - Stock exchanges -- Nigeria KW - Financial intermediaries -- Nigeria KW - Nigeria -- Economic conditions KW - Securities marketing UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59759622?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=&rft.aulast=&rft.aufirst=&rft.date=1996-01-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=The+secondary+market+in+securities+transactions&rft.title=The+secondary+market+in+securities+transactions&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Nigeria Securities and Exchange Comm N1 - Last updated - 2016-09-28 ER - TY - NEWS T1 - More Consumer Friendly SEC Takes the Mystery Out Of the Marketplace AN - 903267668 AB - George Orwell blamed the demise of the English language on politics. It's quite possible he never read a mutual fund prospectus. The prose trips off the tongue like peanut butter. Poetry seems to be reserved for claims about performance. JF - The Washington Post (1974-Current file) AU - Arthur Levitt Chairman Securities and Exchange Commission Y1 - 1995/01/17/ PY - 1995 DA - 1995 Jan 17 SP - 2 CY - Washington, D.C. SN - 01908286 KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/903267668?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpwashingtonpost&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=The+Washington+Post+%281974-Current+file%29&rft.atitle=More+Consumer+Friendly+SEC+Takes+the+Mystery+Out+Of+the+Marketplace&rft.au=Arthur+Levitt+Chairman+Securities+and+Exchange+Commission&rft.aulast=Arthur+Levitt+Chairman+Securities+and+Exchange+Commission&rft.aufirst=&rft.date=1995-01-17&rft.volume=&rft.issue=&rft.spage=A9&rft.isbn=&rft.btitle=&rft.title=The+Washington+Post+%281974-Current+file%29&rft.issn=01908286&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The Washington Post N1 - Copyright - Copyright The Washington Post Company Jan 17, 1995 N1 - Last updated - 2012-02-02 ER - TY - JOUR T1 - Defining industrial mineral reserves; common and subtle problems AN - 52807530; 1996-060673 AB - The consulting geologist or engineer who must evaluate reserve definition and estimation for industrial minerals, particularly for due diligence purposes, may have a relatively easy and straightforward or a difficult and complex task. Within well-planned and well-engineered ventures, the job primarily involves verification of existing information. In cases of poor planning and incomplete logic or execution or inadequate data, the job too often involves uncovering and unravelling problems and making harsh judgements. In the industrial mineral field, each deposit of active operation, while unique, presents both common and subtle problems in reaching a realistic reserve estimate. The evaluator must go beyond the usual, common factors of deposit lineation and reserve estimation and ferret out those subtle problems that are critical to a project's economic viability. This paper focuses principally on the subtle problems, the ones people encounter (too often later) in the life of a project. This paper primarily reviews these issues for the performance of physical industrial minerals; however, most of our suggestions also apply to chemical-use minerals. The paper doe not consider the environmental or permitting aspects of developing an industrial mineral property, although these aspects can be significant factors in determining whether reserves exist. Each industrial mineral venture must answer the following questions: . What product(s): has the project adequately characterized the raw material(s) so that it knows what it has? . Market research: does the project understand what and where the markets are? . Market position: How do(es) the product(s) fit in the marketplace? What is the current market share? . Market penetration: will the project be able to sell the product(s) and achieve or increase market share? . Processing feasibility: can the project make saleable product(s) on a sustained basis? . Transporation: can the project get the product(s) to the market and what will it cost? . Profitability: will the project make a profit selling the product(s)? . Deposit delineation: does the project have adequate geologic information from which to estimate resource tonnage and quality to supply raw materials for specific products? Profitable project/operating feasibility demands a "yes" answer to all eight questions. Reserve definition and estimation requires a determination that a reasonable basis exists for believing that mining will be profitable; it involves far more than simply verifying the physical presence of a certain mineral concentration with a specific tonnage and grade. Because industrial minerals are market-driven, once an industrial mineral prospect is identified, detailed examination of marketing and sales questions precedes a more detailed examination of processing, deposit quality, and deposit size. This order differs from the approach taken with most metal deposits where market issues usually are not a problem. In this respect, evaluation of physical and performance industrial minerals differs from that of other minerals. JF - Circular - West Virginia Geological and Economic Survey AU - Holmes, David A AU - Abbott, David M, Jr AU - Simard, Claudette M A2 - Walker, Brian J. Y1 - 1995 PY - 1995 DA - 1995 SP - 116 EP - 121 PB - West Virginia Geological and Economic Survey, Morgantown, WV SN - 0275-6218, 0275-6218 KW - United States KW - mineral exploration KW - nomenclature KW - beneficiation KW - regulations KW - public policy KW - government agencies KW - decision-making KW - mineral economics KW - qualitative analysis KW - recovery KW - mineral resources KW - evaluation KW - Securities Act KW - reserves KW - ore grade KW - transport KW - practice KW - U. S. Securities and Exchange Commission KW - industrial minerals KW - 28B:Economic geology, economics of nonmetal deposits UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/52807530?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ageorefmodule&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Circular+-+West+Virginia+Geological+and+Economic+Survey&rft.atitle=Defining+industrial+mineral+reserves%3B+common+and+subtle+problems&rft.au=Holmes%2C+David+A%3BAbbott%2C+David+M%2C+Jr%3BSimard%2C+Claudette+M&rft.aulast=Holmes&rft.aufirst=David&rft.date=1995-01-01&rft.volume=&rft.issue=&rft.spage=116&rft.isbn=&rft.btitle=&rft.title=Circular+-+West+Virginia+Geological+and+Economic+Survey&rft.issn=02756218&rft_id=info:doi/ LA - English DB - GeoRef N1 - Conference title - 28th forum on the Geology of industrial minerals N1 - Copyright - GeoRef, Copyright 2012, American Geosciences Institute. N1 - Date revised - 1996-01-01 N1 - Number of references - 10 N1 - PubXState - WV N1 - Last updated - 2012-06-07 N1 - SubjectsTermNotLitGenreText - beneficiation; decision-making; evaluation; government agencies; industrial minerals; mineral economics; mineral exploration; mineral resources; nomenclature; ore grade; practice; public policy; qualitative analysis; recovery; regulations; reserves; Securities Act; transport; U. S. Securities and Exchange Commission; United States ER - TY - JOUR T1 - Penn State's waste water land application nutrient management program AN - 50093517; 1996-004445 JF - Abstracts with Programs - Geological Society of America AU - Parizek, Richard R AU - Parizek, Byron R AU - Parizek, George B AU - Parizek, Evelyne R AU - Parizek, Katarin A AU - Anonymous Y1 - 1995 PY - 1995 DA - 1995 SP - 81 PB - Geological Society of America (GSA), Boulder, CO VL - 27 IS - 6 SN - 0016-7592, 0016-7592 KW - wells KW - United States KW - water quality KW - contaminant plumes KW - waste water KW - karst hydrology KW - pumping KW - water management KW - observation wells KW - ground water KW - movement KW - Pennsylvania State University KW - monitoring KW - sewage KW - numerical models KW - pollutants KW - effluents KW - agriculture KW - pollution KW - nitrates KW - aquifers KW - nutrients KW - recharge KW - Pennsylvania KW - water wells KW - 22:Environmental geology UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/50093517?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ageorefmodule&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Abstracts+with+Programs+-+Geological+Society+of+America&rft.atitle=Penn+State%27s+waste+water+land+application+nutrient+management+program&rft.au=Parizek%2C+Richard+R%3BParizek%2C+Byron+R%3BParizek%2C+George+B%3BParizek%2C+Evelyne+R%3BParizek%2C+Katarin+A%3BAnonymous&rft.aulast=Parizek&rft.aufirst=Richard&rft.date=1995-01-01&rft.volume=27&rft.issue=6&rft.spage=81&rft.isbn=&rft.btitle=&rft.title=Abstracts+with+Programs+-+Geological+Society+of+America&rft.issn=00167592&rft_id=info:doi/ LA - English DB - GeoRef N1 - Conference title - Geological Society of America, 1995 annual meeting N1 - Copyright - GeoRef, Copyright 2012, American Geosciences Institute. N1 - Date revised - 1996-01-01 N1 - PubXState - CO N1 - Last updated - 2012-06-07 N1 - CODEN - GAAPBC N1 - SubjectsTermNotLitGenreText - agriculture; aquifers; contaminant plumes; effluents; ground water; karst hydrology; monitoring; movement; nitrates; numerical models; nutrients; observation wells; Pennsylvania; Pennsylvania State University; pollutants; pollution; pumping; recharge; sewage; United States; waste water; water management; water quality; water wells; wells ER - TY - NEWS T1 - VILLAINS, VICTIMS AND VOLATILITY AFTER BLACK MONDAY AN - 282362769 AB - The stock market crash last October (which the SEC calls a "break") has spawned many studies, the most prominent of which is that of the Presidential Task Force on Market Mechanisms, chaired by Nicholas F. Brady. The Brady Commission's most compelling conclusion was simply that "(f)rom an economic viewpoint, what have been traditionally seen as separate markets-the markets for stocks, stock index futures, and stock options-are in fact one market." From this insight flowed another: The problems of mid-October, when U.S. stocks lost $1 trillion, were attributable to the failure of these market segments to act as one. The Brady Commission recommended that one agency coordinate regulatory issues affecting this single market, including circuit breaker mechanisms to protect it in times of great stress. No villain caused the October crash. The market was a victim of its own successes. Advances in order execution, communication, product and service delivery and computer capacity and speed have all contributed to make today's market vastly better for investors. Improvements include, in particular, the near-instant delivery to investors of almost all information material to investment choice and the opportunity for investors to act upon that information almost instantaneously. Futures and options on securities indexes are two examples of new products that facilitate the rapid execution of investment decisions at low cost. Families of mutual funds that permit swift transfers from equity to debt or debt to equity are another example. JF - Chicago Tribune (pre-1997 Fulltext) AU - Bevis Longstreth Bevis Longstreth served as a commissioner of the Securities and Exchange Commission from 1981 to 1984 He now practices law, specializing in securities and banking, with the New York-based firm of Debevoise & Plimpton Y1 - 1988/04/05/ PY - 1988 DA - 1988 Apr 05 SP - 15 CY - Chicago, Ill. SN - 10856706 KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/282362769?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Achicagotribune&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=Chicago+Tribune+%28pre-1997+Fulltext%29&rft.atitle=VILLAINS%2C+VICTIMS+AND+VOLATILITY+AFTER+BLACK+MONDAY%3A+%5BSPORTS+FINAL%2C+C+EDITION%5D&rft.au=Bevis+Longstreth+Bevis+Longstreth+served+as+a+commissioner+of+the+Securities+and+Exchange+Commission+from+1981+to+1984+He+now+practices+law%2C+specializing+in+securities+and+banking%2C+with+the+New+York-based+firm+of+Debevoise+%26amp%3B+Plimpton&rft.aulast=Bevis+Longstreth+Bevis+Longstreth+served+as+a+commissioner+of+the+Securities+and+Exchange+Commission+from+1981+to+1984+He+now+practices+law&rft.aufirst=specializing+in+securities+and&rft.date=1988-04-05&rft.volume=&rft.issue=&rft.spage=15&rft.isbn=&rft.btitle=&rft.title=Chicago+Tribune+%28pre-1997+Fulltext%29&rft.issn=10856706&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Copyright - Copyright Chicago Tribune Co. Apr 5, 1988 N1 - Last updated - 2011-11-07 ER - TY - NEWS T1 - Business's Bottom Line: Ethics AN - 426547098 AB - The erosion of ethical attitudes in America since the end of World War II can be attributed to the dispersion of families, rising divorce rates, the Vietnam War, the ''permissive'' and ''me'' generations, the drug culture, the affluent society and, most important, the substitution of television for the family, church and school as the principal purveyor of social mores. Some of the charges and criticisms should be put in perspective. The problems are immediate and great, and they do not need to be exaggerated. Wall Street has long been criticized for ethical lapses, but Wall Street's ethics compare favorably with those of other professions. An astronomical sum - more than $38 trillion worth of securities -changed ownership last year. Trillions of dollars of these transactions are executed over the telephone, relying on nothing more than the other person's word. The paperwork follows in three days. JF - New York Times AU - John S.R. Shad AU - John S. R. Shad, United States Ambassador to The Netherlands, was chairman of the Securities and Exchange Commission from 1981 to 1987. ET - Late Edition (East Coast) Y1 - 1987/07/27/ PY - 1987 DA - 1987 Jul 27 CY - New York, N.Y. SN - 03624331 KW - General Interest Periodicals--United States KW - STOCKS AND BONDS KW - VIOLATIONS OF SECURITIES AND COMMODITIES REGULATIONS KW - INSIDERS INFORMATION KW - LAW SCHOOLS KW - EXECUTIVES AND MANAGEMENT KW - SHAD, JOHN S R UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/426547098?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Anytimes&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=New+York+Times&rft.atitle=Business%27s+Bottom+Line%3A+Ethics%3A+%5BOp-Ed%5D&rft.au=John+S.R.+Shad%3BJohn+S.+R.+Shad%2C+United+States+Ambassador+to+The+Netherlands%2C+was+chairman+of+the+Securities+and+Exchange+Commission+from+1981+to+1987.&rft.aulast=John+S.R.+Shad&rft.aufirst=&rft.date=1987-07-27&rft.volume=&rft.issue=&rft.spage=A.19&rft.isbn=&rft.btitle=&rft.title=New+York+Times&rft.issn=03624331&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Copyright - Copyright New York Times Company Jul 27, 1987 N1 - People - SHAD, JOHN S R N1 - Last updated - 2010-08-27 N1 - CODEN - NYTIAO ER - TY - NEWS T1 - Putting Reins on Wall St. AN - 426560650 AB - Felix G. Rohatyn and others have called the scandals a ''blight on Wall Street'' that confirmed the evils of corporate takeovers and the so-called junk bonds often used to finance them. They urged Congress to pass legislation designed to inhibit hostile takeovers. Still others looked to education over the long-term to restore a sense of ethics in business. In a survey conducted by The New York Times in 1915, 90 percent of the executives interviewed admitted to trading regularly in stock of their own corporations. The S.E.C., in its 1944 annual report, stated that before the enactment of the Securities Exchange Act in 1934, ''profits from 'sure thing' speculation in the stocks of their corporations were more or less generally accepted by the financial community as part of the emolument for serving as a corporate officer or director.'' Previously, the S.E.C. had been limited to seeking ''disgorgement'' of those gains and a court injunction telling the offender not to do it again. The new law was not in force long enough to become a deterrent for those involved in the scandals. JF - New York Times AU - Longstreth, Bevis AU - Bevis Longstreth was commissioner of the Securities and Exchange Commission from 1981 to 1984. This article is adapted from his book on modern investment mangement. ET - Late Edition (East Coast) Y1 - 1987/07/09/ PY - 1987 DA - 1987 Jul 09 CY - New York, N.Y. SN - 03624331 KW - General Interest Periodicals--United States KW - STOCKS AND BONDS KW - VIOLATIONS OF SECURITIES AND COMMODITIES REGULATIONS KW - INSIDERS INFORMATION KW - LAW AND LEGISLATION KW - REGULATION AND DEREGULATION OF INDUSTRY KW - UNITED STATES KW - LONGSTRETH, BEVIS UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/426560650?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Anytimes&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=New+York+Times&rft.atitle=Putting+Reins+on+Wall+St.%3A+%5BOp-Ed%5D&rft.au=Longstreth%2C+Bevis%3BBevis+Longstreth+was+commissioner+of+the+Securities+and+Exchange+Commission+from+1981+to+1984.+This+article+is+adapted+from+his+book+on+modern+investment+mangement.&rft.aulast=Longstreth&rft.aufirst=Bevis&rft.date=1987-07-09&rft.volume=&rft.issue=&rft.spage=A.27&rft.isbn=&rft.btitle=&rft.title=New+York+Times&rft.issn=03624331&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Name - Goldman Sachs & Co N1 - Copyright - Copyright New York Times Company Jul 9, 1987 N1 - People - LONGSTRETH, BEVIS N1 - Last updated - 2010-08-06 N1 - CODEN - NYTIAO ER - TY - MGZN T1 - And... AN - 1301536222 JF - Harper's AU - Metzner, Sheila AU - Cohen, Stephen F Y1 - 1986/11/01/ PY - 1986 DA - 1986 Nov 01 SP - 13 CY - New York, N.Y. PB - Harper VL - 273 IS - 1638 KW - Humanities (General) UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/1301536222?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Apao&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Harper%27s&rft.atitle=And...&rft.au=Metzner%2C+Sheila%3BCohen%2C+Stephen+F&rft.aulast=Metzner&rft.aufirst=Sheila&rft.date=1986-11-01&rft.volume=273&rft.issue=1638&rft.spage=13&rft.isbn=&rft.btitle=&rft.title=Harper%27s&rft.issn=0017789X&rft_id=info:doi/ DB - Periodicals Archive Online; Periodicals Index Online N1 - Last updated - 2013-02-24 ER - TY - NEWS T1 - S.E.C.: NO SUPERCOP AN - 425124167 AB - The meaning of these findings is not clear-cut. To some, they will suggest that the S.E.C. is not doing its job. Another interpretation, however, is that the agency's reach is more limited than most ordinary investors assume. A case in point is the perpetrator of serious fraud who does not register with the S.E.C., thereby hiding his misdeeds from agency detection. Again, in such cases, outsiders tend to bring the offense to the attention of the S.E.C. rather than the other way around. Nor should we automatically fault the S.E.C. for making mistakes, which it does: Its suspicions, the evidence suggests, are sometimes wrong. But given the manifold problems of detecting white-collar crime, the agency has sensibly chosen to take risks. It is therefore noted for innovative enforcement, always reaching for the most elusive clue that might betray the earliest stages of an illicit scheme and thereby protect those investors who would otherwise be victimized had the agency awaited irrefutable evidence. Unfortunately, we cannot directly answer the most important question of all: How much fraud goes undetected and how does it differ from the 300-odd violations that do fall into the S.E.C.'s intelligence net each year? But available evidence does suggest that the discovery of stock fraud is often haphazard and fortuitous. It suggests also that quite a lot of undetected fraud exists and that certain kinds of violations are less likely to be discovered than others. The premise that the S.E.C. - whose annual budget represents a mere five-thousandths of 1 percent of the value of the securities it must protect - could serve as an omniscient watchdog over a world in which complicated offenses can be woven over a period of years, hidden in the privacy of corporate suites, disguised by routines and covered up with considerable finesse is profoundly unrealistic. JF - New York Times AU - Susan P. Shapiro Susan P. Shapiro, assistant professor of sociology at New York University, is author of ''Wayward Capitalists: Target of the Securities and Exchange Commission.'' ET - Late Edition (East Coast) Y1 - 1984/07/24/ PY - 1984 DA - 1984 Jul 24 CY - New York, N.Y. SN - 03624331 KW - General Interest Periodicals--United States KW - Vanderlip, Frank A UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/425124167?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Anytimes&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=New+York+Times&rft.atitle=S.E.C.%3A+NO+SUPERCOP%3A+%5BOP-ED%5D&rft.au=Susan+P.+Shapiro+Susan+P.+Shapiro%2C+assistant+professor+of+sociology+at+New+York+University%2C+is+author+of+%27%27Wayward+Capitalists%3A+Target+of+the+Securities+and+Exchange+Commission.%27%27&rft.aulast=Susan+P.+Shapiro+Susan+P.+Shapiro&rft.aufirst=assistant+professor+of+sociology+at+New+York&rft.date=1984-07-24&rft.volume=&rft.issue=&rft.spage=A.21&rft.isbn=&rft.btitle=&rft.title=New+York+Times&rft.issn=03624331&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Name - National City Bank N1 - Copyright - Copyright New York Times Company Jul 24, 1984 N1 - People - Vanderlip, Frank A N1 - Last updated - 2010-08-20 N1 - CODEN - NYTIAO ER - TY - NEWS T1 - HALTING INSIDER TRADING AN - 424928063 AB - vestors have substantially equal access to material information and securities are promptly and accurately valued on the basis of all relevant information. More broadly, insider trading offends basic ideas of fairness; in short, as every other nation to consider the matter has also concluded, it is simply wrong. Nonetheless, a small but highly vocal group - largely free-market economists - argues that prohibitions against insider trading are misconceived and counterproductive. There are two principal points in support of this argument. First, insider trading hurts no one, because the innocent sellers and buyers who indirectly trade with the insider come to the transaction voluntarily. Since the price was right for them anyway, they have no reason to complain. And, since the market impact of insider trading is always in the direction of more accurate pricing, it serves the goal of pricing efficiency. Second, capitalism depends on creating high incentives for entrepreneurs who, through skill, energy or foresight, increase the value of the business enterprise that they serve. Insider trading is the only effective way of rewarding them. Let's look at these points. Is anyone hurt by insider trading? It is true that people will make independent buy or sell decisions while unaware of confidential information. But it doesn't follow that they should be deprived of the fair value of their investments. Misappropriation of profits is no less wrong because the profits were not anticipated. JF - New York Times AU - Bevis Longstreth Bevis Longstreth, a member of the Securities and Exchange Commission from 1981 to 1984, is a partner with Debevoise & Plimpton. ET - Late Edition (East Coast) Y1 - 1984/04/12/ PY - 1984 DA - 1984 Apr 12 CY - New York, N.Y. SN - 03624331 KW - General Interest Periodicals--United States KW - STOCKS AND BONDS KW - LAW AND LEGISLATION KW - INSIDER INFORMATION KW - FINES (PENALTIES) KW - UNITED STATES KW - LONGSTRETH, BEVIS UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/424928063?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Anytimes&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=New+York+Times&rft.atitle=HALTING+INSIDER+TRADING%3A+%5BOP-ED%5D&rft.au=Bevis+Longstreth+Bevis+Longstreth%2C+a+member+of+the+Securities+and+Exchange+Commission+from+1981+to+1984%2C+is+a+partner+with+Debevoise+%26amp%3B+Plimpton.&rft.aulast=Bevis+Longstreth+Bevis+Longstreth&rft.aufirst=a+member+of+the+Securities+and+Exchange+Commission+from+1981+to&rft.date=1984-04-12&rft.volume=&rft.issue=&rft.spage=A.27&rft.isbn=&rft.btitle=&rft.title=New+York+Times&rft.issn=03624331&rft_id=info:doi/ LA - English DB - ProQuest Central N1 - Name - Securities & Exchange Commission N1 - Copyright - Copyright New York Times Company Apr 12, 1984 N1 - People - LONGSTRETH, BEVIS N1 - Last updated - 2010-08-06 N1 - CODEN - NYTIAO ER - TY - NEWS T1 - Eaton Corp. Files Sale Of $75 Million of Debt AN - 134775884 JF - Wall Street Journal (1923 - Current file) AU - By a WALL STREET JOURNAL Staff ReporterCLEVELAND Eaton Corp. said it filed a registration statement with the Securities and Exchange Commission covering $75 million of convertible debentures. Y1 - 1983/12/14/ PY - 1983 DA - 1983 Dec 14 SP - 42 CY - New York, N.Y. SN - 00999660 KW - Business And Economics--Banking And Finance UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/134775884?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpwallstreetjournal&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Wall+Street+Journal+%281923+-+Current+file%29&rft.atitle=Eaton+Corp.+Files+Sale+Of+%2475+Million+of+Debt&rft.au=By+a+WALL+STREET+JOURNAL+Staff+ReporterCLEVELAND+Eaton+Corp.+said+it+filed+a+registration+statement+with+the+Securities+and+Exchange+Commission+covering+%2475+million+of+convertible+debentures.&rft.aulast=By+a+WALL+STREET+JOURNAL+Staff+ReporterCLEVELAND+Eaton+Corp.+said+it+filed+a+registration+statement+with+the+Securities+and+Exchange+Commission+covering+%2475+million+of+convertible+debentures.&rft.aufirst=&rft.date=1983-12-14&rft.volume=&rft.issue=&rft.spage=42&rft.isbn=&rft.btitle=&rft.title=Wall+Street+Journal+%281923+-+Current+file%29&rft.issn=00999660&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The Wall Street Journal N1 - Copyright - Copyright Dow Jones & Company Inc Dec 14, 1983 N1 - Last updated - 2010-05-28 ER - TY - BOOK T1 - The effect of net institutional trading imbalances on stock prices T2 - Capital Market Working Pas. 6 AN - 59216729; 1982-1004772 JF - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549, March 1981. 20+6 pp. AU - Atkinson, William J Y1 - 1981/03// PY - 1981 DA - March 1981 EP - 20+6 PB - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549 KW - Stocks -- Prices KW - Institutional investments UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59216729?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=Atkinson%2C+William+J&rft.aulast=Atkinson&rft.aufirst=William&rft.date=1981-03-01&rft.volume=&rft.issue=&rft.spage=20%2B6&rft.isbn=&rft.btitle=The+effect+of+net+institutional+trading+imbalances+on+stock+prices&rft.title=The+effect+of+net+institutional+trading+imbalances+on+stock+prices&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549 Free N1 - Document feature - bibl(s), table(s) N1 - Last updated - 2016-09-28 ER - TY - BOOK T1 - Multiproduct economies of scale in the securities industry: an application of developing theory T2 - Capital Market Working Pas. 7 AN - 59211425; 1982-1004784 JF - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549, March 1981. 21 pp. AU - Matthews, John O Y1 - 1981/03// PY - 1981 DA - March 1981 SP - 21 PB - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549 KW - Stock brokers KW - Economies of scale UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59211425?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=Matthews%2C+John+O&rft.aulast=Matthews&rft.aufirst=John&rft.date=1981-03-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=Multiproduct+economies+of+scale+in+the+securities+industry%3A+an+application+of+developing+theory&rft.title=Multiproduct+economies+of+scale+in+the+securities+industry%3A+an+application+of+developing+theory&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549 Free N1 - Document feature - bibl(s), table(s), chart(s) N1 - Last updated - 2016-09-28 ER - TY - BOOK T1 - Commercial banks, trust departments and concentration of power: a legacy of Glass-Steagall T2 - Capital Marketing Working Pas. 5 AN - 59214473; 1982-1004760 JF - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549, February 1981. 34 pp. AU - Farrar, Donald E Y1 - 1981/02// PY - 1981 DA - February 1981 SP - 34 PB - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549 KW - Banking -- Trust departments KW - Trusts, Industrial KW - Institutional investments UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59214473?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=Farrar%2C+Donald+E&rft.aulast=Farrar&rft.aufirst=Donald&rft.date=1981-02-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=Commercial+banks%2C+trust+departments+and+concentration+of+power%3A+a+legacy+of+Glass-Steagall&rft.title=Commercial+banks%2C+trust+departments+and+concentration+of+power%3A+a+legacy+of+Glass-Steagall&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549 Free N1 - Document feature - bibl(s), table(s) N1 - Last updated - 2016-09-28 ER - TY - BOOK T1 - Returns to shareholders of acquiring and acquired companies: the case of acquisitions of technology-based firms in the over-the-counter market T2 - Capital Market Working Pas. 3 AN - 59223588; 1982-1004758 JF - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549, December 1980. i+20+7 pp. AU - Osborne, Alfred E, Jr Y1 - 1980/12// PY - 1980 DA - December 1980 EP - i+20+7 PB - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549 KW - Return on investment (accounting) KW - Small business KW - Corporate acquisitions KW - Technology UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59223588?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=Osborne%2C+Alfred+E%2C+Jr&rft.aulast=Osborne&rft.aufirst=Alfred&rft.date=1980-12-01&rft.volume=&rft.issue=&rft.spage=i%2B20%2B7&rft.isbn=&rft.btitle=Returns+to+shareholders+of+acquiring+and+acquired+companies%3A+the+case+of+acquisitions+of+technology-based+firms+in+the+over-the-counter+market&rft.title=Returns+to+shareholders+of+acquiring+and+acquired+companies%3A+the+case+of+acquisitions+of+technology-based+firms+in+the+over-the-counter+market&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549 Free N1 - Document feature - bibl(s), table(s), chart(s) N1 - Last updated - 2016-09-28 ER - TY - BOOK T1 - Acquisition of technology-based firms by tender offer: an economic and financial analysis T2 - Capital Market Working Pas. 1 AN - 59218203; 1982-1004746 AB - Effects of acquisition by tender offer on the stockholders of small firms. JF - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549, October 1980. 26 pp. AU - Masulis, Ronald W Y1 - 1980/10// PY - 1980 DA - October 1980 SP - 26 PB - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549 KW - Stockholders KW - Stocks -- Tender offers KW - Small business KW - Technology UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59218203?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=Masulis%2C+Ronald+W&rft.aulast=Masulis&rft.aufirst=Ronald&rft.date=1980-10-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=Acquisition+of+technology-based+firms+by+tender+offer%3A+an+economic+and+financial+analysis&rft.title=Acquisition+of+technology-based+firms+by+tender+offer%3A+an+economic+and+financial+analysis&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Office of Consumer Affairs and Information Services, Securities and Exchange Commission, 500 N. Capitol St., Washington, DC 20549 Free N1 - Document feature - bibl(s), table(s) N1 - Last updated - 2016-09-28 ER - TY - NEWS T1 - 'Conflicting Signals' on Corporate Earnings AN - 147201538 AB - Bill Jones spotlighted a problem of rapidly growing dimensions in his article "Reporting 'Record' Profits" [op-ed, Jan. 9]. JF - The Washington Post (1974-Current file) AU - HAROLD M. WILLIAMS, Chairman, Securities and Exchange Commission. Washington Y1 - 1980/02/07/ PY - 1980 DA - 1980 Feb 07 SP - 1 CY - Washington, D.C. SN - 01908286 KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/147201538?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpwashingtonpost&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=The+Washington+Post+%281974-Current+file%29&rft.atitle=%27Conflicting+Signals%27+on+Corporate+Earnings&rft.au=HAROLD+M.+WILLIAMS%2C+Chairman%2C+Securities+and+Exchange+Commission.+Washington&rft.aulast=HAROLD+M.+WILLIAMS&rft.aufirst=Chairman&rft.date=1980-02-07&rft.volume=&rft.issue=&rft.spage=A18&rft.isbn=&rft.btitle=&rft.title=The+Washington+Post+%281974-Current+file%29&rft.issn=01908286&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The Washington Post N1 - Copyright - Copyright The Washington Post Company Feb 7, 1980 N1 - Last updated - 2012-04-11 ER - TY - NEWS T1 - S.E.C. Says Traders Fixed Options Sales AN - 123461685 JF - New York Times (1923-Current file) AU - By JUDITH MILLER Special to The New York TimesWASHINGTON, Oct. 21 The Securities and Exchange Commission today charged several California traders with prearranging sales of options to create the false impression of active trading of the option on the Paci Y1 - 1977/10/22/ PY - 1977 DA - 1977 Oct 22 SP - 40 CY - New York, N.Y. SN - 03624331 KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/123461685?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpnewyorktimes&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=New+York+Times+%281923-Current+file%29&rft.atitle=S.E.C.+Says+Traders+Fixed+Options+Sales%3A+S.E.C.+SAYS+TRADERS+FIXED+OPTIONS+SALES&rft.au=By+JUDITH+MILLER+Special+to+The+New+York+TimesWASHINGTON%2C+Oct.+21+The+Securities+and+Exchange+Commission+today+charged+several+California+traders+with+prearranging+sales+of+options+to+create+the+false+impression+of+active+trading+of+the+option+on+the+Paci&rft.aulast=By+JUDITH+MILLER+Special+to+The+New+York+TimesWASHINGTON&rft.aufirst=Oct.+21+The+Securities+and+Exchange+Commission+today+charged+several+California+traders+with+prearranging+sales+of+options+to+create+the+false+impression+of+active+trading+of+the+option+on+the&rft.date=1977-10-22&rft.volume=&rft.issue=&rft.spage=40&rft.isbn=&rft.btitle=&rft.title=New+York+Times+%281923-Current+file%29&rft.issn=03624331&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The New York Times N1 - Copyright - Copyright New York Times Company Oct 22, 1977 N1 - Last updated - 2010-05-25 ER - TY - JOUR T1 - DISCLOSURES PERTAINING TO MATTERS INVOLVING THE ENVIRONMENT AN - 19037889; 7112581 AB - THE SECURITIES AND EXCHANGE COMMISSION REQUIREMENTS FOR DESCRIBING A REGISTRANT'S BUSINESS INCLUDE DISCLOSURE OF SIGNIFICANT CAPITAL OUTLAYS WHICH MAY BE NECESSITATED BY COMPLIANCE WITH REQUIREMENTS OF ENVIRONMENTAL QUALITY LEGISLATION, AND WHICH MAY MATERIALLY AFFECT THE EARNING POWER OF THE BUSINESS OR CAUSE MATERIAL CHANGES IN THE REGISTRANT'S BUSINESS DONE OR INTENDED TO BE DONE. FURTHERMORE, THE COMMISSION REQUIRES DISCLOSURE OF LEGAL PROCEEDINGS ARISING, FOR EXAMPLE, UNDER THE RIVERS AND HARBORS ACT, FEDERAL WATER POLLUTION CONTROL ACT, OR CLEAN AIR ACT, AS WELL AS OTHER FEDERAL, STATE, OR LOCAL LAWS REGULATING DISCHARGES OF MATERIALS INTO THE ENVIRONMENT, OR OTHERWISE RELATING TO THE ENVIRONMENT. IF SUCH LITIGATION IS PENDING OR KNOWN TO BE CONTEMPLATED, BUT DISCLOSURE IS OMITTED ON THE GROUND OF IMMATERIALITY, THE DIVISION OF CORPORATION FINANCE WILL REQUEST THE REGISTRANT TO FURNISH SUPPLEMENTAL INFORMATION, INCLUDING: (1) A DESCRIPTION OF THE OMITTED INFORMATION, AND (2) A STATEMENT OF THE REASON FOR ITS OMISSION. (HART-FLORIDA) JF - FEDERAL REGISTER, VOL 36, NO 146, P 13989 (JULY 1971). 1 P. Y1 - 1971/07// PY - 1971 DA - Jul 1971 KW - Water Resources Abstracts KW - *FEDERAL GOVERNMENT KW - *ADMINISTRATIVE AGENCIES KW - *WATER POLLUTION CONTROL KW - *JUDICIAL DECISIONS KW - REGULATION KW - RIVERS AND HARBORS ACT KW - CLEAN AIR ACT KW - LEGISLATION KW - ENVIRONMENT KW - ECOLOGY KW - ENVIRONMENTAL EFFECTS KW - WATER QUALITY KW - WATER QUALITY CONTROL KW - WATER POLLUTION KW - POLLUTION ABATEMENT KW - WASTE WATER(POLLUTION) KW - *WATER POLLUTION CONTROL ACT KW - SW 3070:Water quality control KW - SW 4050:Water law and institutions UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/19037889?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Awaterresources&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=&rft.atitle=DISCLOSURES+PERTAINING+TO+MATTERS+INVOLVING+THE+ENVIRONMENT&rft.au=&rft.aulast=&rft.aufirst=&rft.date=1971-07-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=&rft.title=&rft.issn=&rft_id=info:doi/ LA - English DB - ProQuest Environmental Science Collection N1 - Last updated - 2011-12-14 ER - TY - NEWS T1 - Modern-Day Horatio Alger Story Is Related by Grateful Student AN - 148049891 AB - Monday night, almost every living present and former member of the Securities and Exchange Commission will be on hand to pay homage to Orval Lee DuBois on the occasion of his retirement as Secretary. JF - The Washington Post, Times Herald (1959-1973) AU - Former Chairman, Securities and Exchange Commission AU - By Manuel F. Cohen Y1 - 1971/02/21/ PY - 1971 DA - 1971 Feb 21 SP - 1 CY - Washington, D.C. UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/148049891?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpwashingtonpost&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=The+Washington+Post%2C+Times+Herald+%281959-1973%29&rft.atitle=Modern-Day+Horatio+Alger+Story+Is+Related+by+Grateful+Student%3A+Devotion%2C+Untiring+Efforts+Honored&rft.au=Former+Chairman%2C+Securities+and+Exchange+Commission%3BBy+Manuel+F.+Cohen&rft.aulast=Former+Chairman&rft.aufirst=Securities+and+Exchange&rft.date=1971-02-21&rft.volume=&rft.issue=&rft.spage=G1&rft.isbn=&rft.btitle=&rft.title=The+Washington+Post%2C+Times+Herald+%281959-1973%29&rft.issn=&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The Washington Post N1 - Copyright - Copyright The Washington Post Company Feb 21, 1971 N1 - Last updated - 2010-05-29 ER - TY - BOOK T1 - Consisting of documentation of questionnaires, respondents, and the data collection process of the Institutional investor study, being a study and investigation of the purchase, sale, and holding of securities by institutional investors of all types, pursuant to Section 19 (e) of the Securities exchange act of 1934 (Public law 90-438, 91-410) T2 - (92d Cong., 1st sess., H. doc. no. 92-64, pt. 7) AN - 59508143; 1972-13582 JF - Superintendent of Documents, 1971. v+1527 pp. Y1 - 1971///0, PY - 1971 DA - 0, 1971 EP - v+1527 PB - Superintendent of Documents KW - Investments, Institutional UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/59508143?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/PAIS+Index&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=&rft.aulast=&rft.aufirst=&rft.date=1971-01-01&rft.volume=&rft.issue=&rft.spage=v%2B1527&rft.isbn=&rft.btitle=Consisting+of+documentation+of+questionnaires%2C+respondents%2C+and+the+data+collection+process+of+the+Institutional+investor+study%2C+being+a+study+and+investigation+of+the+purchase%2C+sale%2C+and+holding+of+securities+by+institutional+investors+of+all+types%2C+pursuant+to+Section+19+%28e%29+of+the+Securities+exchange+act+of+1934+%28Public+law+90-438%2C+91-410%29&rft.title=Consisting+of+documentation+of+questionnaires%2C+respondents%2C+and+the+data+collection+process+of+the+Institutional+investor+study%2C+being+a+study+and+investigation+of+the+purchase%2C+sale%2C+and+holding+of+securities+by+institutional+investors+of+all+types%2C+pursuant+to+Section+19+%28e%29+of+the+Securities+exchange+act+of+1934+%28Public+law+90-438%2C+91-410%29&rft.issn=&rft_id=info:doi/ LA - English DB - PAIS Index N1 - Date revised - 2006-09-28 N1 - Availability - Supt. docs. pa $6 N1 - Document feature - il, tables N1 - Last updated - 2016-09-27 ER - TY - NEWS T1 - Insull--His Glory and Shame AN - 141691156 AB - THIS carefully documented biography of Samuel Insull details lnsull's great influence in the development and distribution of electric power from his arrival in this country as Edison's secretary in 1881 to his forced retirement, from the industry in 1932. JF - The Washington Post, Times Herald (1959-1973) AU - Reviewed by David Ferber Mr. Ferber is a associate general counsel of the Securities and Exchange Commission. The views expressed in this review are Mr. Ferber's personal views and do not necessarily reflect the views of the commission or its staff. Y1 - 1962/10/28/ PY - 1962 DA - 1962 Oct 28 SP - 1 CY - Washington, D.C. UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/141691156?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpwashingtonpost&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=The+Washington+Post%2C+Times+Herald+%281959-1973%29&rft.atitle=Insull--His+Glory+and+Shame&rft.au=Reviewed+by+David+Ferber+Mr.+Ferber+is+a+associate+general+counsel+of+the+Securities+and+Exchange+Commission.+The+views+expressed+in+this+review+are+Mr.+Ferber%27s+personal+views+and+do+not+necessarily+reflect+the+views+of+the+commission+or+its+staff.&rft.aulast=Reviewed+by+David+Ferber+Mr.+Ferber+is+a+associate+general+counsel+of+the+Securities+and+Exchange+Commission.+The+views+expressed+in+this+review+are+Mr.+Ferber%27s+personal+views+and+do+not+necessarily+reflect+the+views+of+the+commission+or+its+staff.&rft.aufirst=&rft.date=1962-10-28&rft.volume=&rft.issue=&rft.spage=G8&rft.isbn=&rft.btitle=&rft.title=The+Washington+Post%2C+Times+Herald+%281959-1973%29&rft.issn=&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The Washington Post N1 - Copyright - Copyright The Washington Post Company Oct 28, 1962 N1 - Last updated - 2010-05-29 ER - TY - NEWS T1 - Wall St. Takes Stock of Swindlers AN - 141503261 AB - EACH OF THESE books discusses securities, swindlers and securities regulation. Two of them, "Wall Street's Shady Side" and "The Watchdogs of Wall Street," deal primarily with swindlers. JF - The Washington Post, Times Herald (1959-1973) AU - Reviewed by David Ferber Mr. Ferber is associate general counsel of the Securities and Exchange Commission. The views expressed in this review are Mr. Ferber's personal views and do not necessarily reflect the views of the commission or its staff. Y1 - 1962/10/07/ PY - 1962 DA - 1962 Oct 07 SP - 1 CY - Washington, D.C. 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AN - 115428408 AB - I appreciate the editorial of May 9 entitled "Reawakening of the S.E.C." and hope this new administration justifies your approbation. At the same time it seems inequitable to demonstrate such a reawakening through action for which my predecessors and present colleague, ex-Chairman Edward N. Gadsby, are largely responsible. JF - New York Times (1923-Current file) AU - WILLIAM L. CARY, Chairman, Securities and Exchange Commission. Y1 - 1961/05/11/ PY - 1961 DA - 1961 May 11 SP - 36 CY - New York, N.Y. SN - 03624331 KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/115428408?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpnewyorktimes&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=New+York+Times+%281923-Current+file%29&rft.atitle=Work+of+the+S.E.C.&rft.au=WILLIAM+L.+CARY%2C+Chairman%2C+Securities+and+Exchange+Commission.&rft.aulast=WILLIAM+L.+CARY&rft.aufirst=Chairman&rft.date=1961-05-11&rft.volume=&rft.issue=&rft.spage=36&rft.isbn=&rft.btitle=&rft.title=New+York+Times+%281923-Current+file%29&rft.issn=03624331&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The New York Times N1 - Copyright - Copyright New York Times Company May 11, 1961 N1 - Last updated - 2010-05-23 ER - TY - NEWS T1 - Year Taxed SEC's Diligence AN - 149015718 AB - In the year which has passed the Securities and Exchange Commission has again been faced with a volume of activity in the capital markets exceeding that of prior years in its history. JF - The Washington Post and Times Herald (1954-1959) AU - By Edward N. Gadsby Chairman, Securities and Exchange Commission Y1 - 1958/01/05/ PY - 1958 DA - 1958 Jan 05 SP - 1 CY - Washington, D.C. 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The amount of investment funds which corporations will have to raise in the capital markets to meet their capital requirements will be greater than in any recent year. JF - The Washington Post and Times Herald (1954-1959) AU - By J. Sinclair Armstrong Chairman Securities and Exchange Commission Y1 - 1957/01/04/ PY - 1957 DA - 1957 Jan 04 SP - 1 CY - Washington, D.C. 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UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/37522684?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/International+Bibliography+of+the+Social+Sciences+%28IBSS%29&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=United+States%3BSecurities+and+Exchange+Commission%3BDivision+of+Trading+and+Exchanges&rft.aulast=United+States&rft.aufirst=&rft.date=1957-01-01&rft.volume=&rft.issue=&rft.spage=v+%2B+76&rft.isbn=&rft.btitle=Cost+of+flotation+of+corporate+securities%2C+1951-1955&rft.title=Cost+of+flotation+of+corporate+securities%2C+1951-1955&rft.issn=&rft_id=info:doi/ LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - SuppNotes - USA; Prepared by the Section of Economic Research N1 - Last updated - 2013-09-16 ER - TY - NEWS T1 - SEC Head Lists Aims for 1955 AN - 148607132 AB - The Securities and Exchange Commission's activities are directed to the protection of the public interest and the interest of investors in an expanding economy. This fact is illustrated by the following figures taken from our statistical reports: JF - The Washington Post and Times Herald (1954-1959) AU - By Ralph H. Demmler Securities and Exchange Commission Chairman Y1 - 1955/01/02/ PY - 1955 DA - 1955 Jan 02 SP - 1 CY - Washington, D.C. 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Docs. KW - Economics KW - Currency convertibility KW - Monetary market KW - Monetary parities KW - Foreign trade KW - Exchange KW - Money KW - International economic relations KW - Market KW - Exchange market KW - Banking UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/37449415?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/International+Bibliography+of+the+Social+Sciences+%28IBSS%29&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=Securities+and+Exchange+Commission%3Bonline+at+sec.gov&rft.aulast=Securities+and+Exchange+Commission&rft.aufirst=&rft.date=2006-01-18&rft.volume=&rft.issue=&rft.spage=D.1&rft.isbn=&rft.btitle=&rft.title=The+Grand+Rapids+Press&rft.issn=&rft_id=info:doi/ LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 ER - TY - BOOK T1 - Study of the securities and exchange commission, 82nd congress. Final report AN - 37446615; 142317a JF - Study of the securities and exchange commission, 82nd congress. Final report AU - United States AU - Congress Y1 - 1952 PY - 1952 DA - 1952 EP - vi + 152 PB - U.S. Gvt. Printing Office KW - Economics KW - Currency convertibility KW - Monetary market KW - Monetary parities KW - Foreign trade KW - Exchange KW - Money KW - International economic relations KW - Market KW - Exchange market KW - Banking UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/37446615?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/International+Bibliography+of+the+Social+Sciences+%28IBSS%29&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=United+States%3BCongress&rft.aulast=United+States&rft.aufirst=&rft.date=1952-01-01&rft.volume=&rft.issue=&rft.spage=vi+%2B+152&rft.isbn=&rft.btitle=Study+of+the+securities+and+exchange+commission%2C+82nd+congress.+Final+report&rft.title=Study+of+the+securities+and+exchange+commission%2C+82nd+congress.+Final+report&rft.issn=&rft_id=info:doi/ LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 ER - TY - BOOK T1 - The work of the securities and exchange commission AN - 37445877; 142319a JF - The work of the securities and exchange commission AU - United States AU - Congress Y1 - 1952 PY - 1952 DA - 1952 SP - 32 PB - Supt. Docs. KW - Economics KW - Currency convertibility KW - Monetary market KW - Monetary parities KW - Foreign trade KW - Exchange KW - Money KW - International economic relations KW - Market KW - Exchange market KW - Banking UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/37445877?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/International+Bibliography+of+the+Social+Sciences+%28IBSS%29&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=St.+Louis+Post+-+Dispatch&rft.atitle=INSIDE+THE+FUND+PROSPECTUS%3A+%5BFIVE+STAR+LIFT+EDITION%5D&rft.au=Securities+and+Exchange+Commission&rft.aulast=Securities+and+Exchange+Commission&rft.aufirst=&rft.date=2004-02-08&rft.volume=&rft.issue=&rft.spage=E.3&rft.isbn=&rft.btitle=&rft.title=St.+Louis+Post+-+Dispatch&rft.issn=19309600&rft_id=info:doi/ LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 ER - TY - BOOK T1 - Securities required to be exchanged for cash or new securities AN - 37444939; 142320a JF - Securities required to be exchanged for cash or new securities AU - United States AU - Securities and Exchange Commission Y1 - 1952 PY - 1952 DA - 1952 SP - 16 PB - Supt. Docs. KW - Economics KW - Currency convertibility KW - Monetary market KW - Monetary parities KW - Foreign trade KW - Exchange KW - Money KW - International economic relations KW - Market KW - Exchange market KW - Banking UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/37444939?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/International+Bibliography+of+the+Social+Sciences+%28IBSS%29&rft_val_fmt=info:ofi/fmt:kev:mtx:book&rft.genre=book&rft.jtitle=&rft.atitle=&rft.au=United+States%3BSecurities+and+Exchange+Commission&rft.aulast=United+States&rft.aufirst=&rft.date=1952-01-01&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=Securities+required+to+be+exchanged+for+cash+or+new+securities&rft.title=Securities+required+to+be+exchanged+for+cash+or+new+securities&rft.issn=&rft_id=info:doi/ LA - English DB - International Bibliography of the Social Sciences (IBSS) N1 - Date revised - 2013-06-12 N1 - Last updated - 2013-09-16 ER - TY - NEWS T1 - Research Put Ahead Of Use by Industry AN - 151910384 AB - THE ATOMIC ENERGY ACT of 1946, which has to be taken as the Atomic Energy Commission's bible, clearly reflects two points of view of the Congress: JF - The Washington Post (1923-1954) AU - By Sumner T. Pike (Mr. Pike, a member of the Atomic Energy Commission, has had a business career in oil, insurance and public utility fields. He was a member of the Temporary National Economic Committee and the Securities and Exchange Commission.) Y1 - 1947/08/03/ PY - 1947 DA - 1947 Aug 03 SP - 1 CY - Washington, D.C. UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/151910384?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpwashingtonpost&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=The+Washington+Post+%281923-1954%29&rft.atitle=Research+Put+Ahead+Of+Use+by+Industry&rft.au=By+Sumner+T.+Pike+%28Mr.+Pike%2C+a+member+of+the+Atomic+Energy+Commission%2C+has+had+a+business+career+in+oil%2C+insurance+and+public+utility+fields.+He+was+a+member+of+the+Temporary+National+Economic+Committee+and+the+Securities+and+Exchange+Commission.%29&rft.aulast=By+Sumner+T.+Pike+%28Mr.+Pike&rft.aufirst=a+member+of+the+Atomic+Energy&rft.date=1947-08-03&rft.volume=&rft.issue=&rft.spage=B10&rft.isbn=&rft.btitle=&rft.title=The+Washington+Post+%281923-1954%29&rft.issn=&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The Washington Post N1 - Copyright - Copyright The Washington Post Company Aug 3, 1947 N1 - Last updated - 2010-05-30 ER - TY - NEWS T1 - PROGRAM REVISED TO REVAMP UTILITY AN - 107297740 JF - New York Times (1923-Current file) AU - Special to THE NEW YORK TIMES.PHILADELPHIA, July 13--The Securities and Exchange Commission revealed today that the Columbia Gas and Electric Corporation has indicated that it and itsparent, the United Corporation, Y1 - 1945/07/14/ PY - 1945 DA - 1945 Jul 14 SP - 15 CY - New York, N.Y. SN - 03624331 KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/107297740?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpnewyorktimes&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=New+York+Times+%281923-Current+file%29&rft.atitle=PROGRAM+REVISED+TO+REVAMP+UTILITY%3A+PRESENTED+TO+SEC+BY+COLUMBIA+GAS+AND+ELECTRIC+AND+UNITED+CORPORATIONS+CONFLICT+OF+PAIR+ENDED+TRANSFERS+OF+INVESTMENTS+IN+VARIOUS+CONCERNS+INCLUDED+--HEARING+POSTPONED+PRICE+FOR+NEW+STOCK+SET+%2411+A+SHARE+FOR+PHILADELPHIA+%26+READING+COAL+AND+IRON+PROGRAM+REVISED+TO+REVAMP+UTILITY&rft.au=Special+to+THE+NEW+YORK+TIMES.PHILADELPHIA%2C+July+13--The+Securities+and+Exchange+Commission+revealed+today+that+the+Columbia+Gas+and+Electric+Corporation+has+indicated+that+it+and+itsparent%2C+the+United+Corporation%2C&rft.aulast=Special+to+THE+NEW+YORK+TIMES.PHILADELPHIA&rft.aufirst=July+13--The+Securities+and+Exchange+Commission+revealed+today+that+the+Columbia+Gas+and+Electric+Corporation+has+indicated+that+it+and&rft.date=1945-07-14&rft.volume=&rft.issue=&rft.spage=15&rft.isbn=&rft.btitle=&rft.title=New+York+Times+%281923-Current+file%29&rft.issn=03624331&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The New York Times N1 - Copyright - Copyright New York Times Company Jul 14, 1945 N1 - Last updated - 2010-05-22 ER - TY - NEWS T1 - Bidding on A.T. & T. Issue AN - 105736294 AB - TO THE EDITOR OF THE NEW YORK TIMES: Arthur Krock was wrong in his implication this morning that the recent offering by the A.T. & T. of $90,000,000 of debentures at competitive bidding was under compulsion of the competitive bidding rule of this commission. The A.T. & T. is in no way subject to this rule, because it is not, within the terms of our statute, a public utility holding company. JF - New York Times (1923-Current file) AU - EDWARD C. EICHER, Chairman, ROBERT E. HEALY, SUMNER T. PIKE, GANSON PURSELL, Commissioners, Securities and Exchange Commission. Y1 - 1941/10/08/ PY - 1941 DA - 1941 Oct 08 SP - 22 CY - New York, N.Y. SN - 03624331 KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/105736294?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpnewyorktimes&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=unknown&rft.jtitle=New+York+Times+%281923-Current+file%29&rft.atitle=Bidding+on+A.T.+%26amp%3B+T.+Issue%3A+SEC+Says+Company+Chose+Competitive+Sales+Basis+of+Its+Own+Free+Will&rft.au=EDWARD+C.+EICHER%2C+Chairman%2C+ROBERT+E.+HEALY%2C+SUMNER+T.+PIKE%2C+GANSON+PURSELL%2C+Commissioners%2C+Securities+and+Exchange+Commission.&rft.aulast=EDWARD+C.+EICHER&rft.aufirst=Chairman&rft.date=1941-10-08&rft.volume=&rft.issue=&rft.spage=22&rft.isbn=&rft.btitle=&rft.title=New+York+Times+%281923-Current+file%29&rft.issn=03624331&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The New York Times N1 - Copyright - Copyright New York Times Company Oct 8, 1941 N1 - Last updated - 2010-05-22 ER - TY - NEWS T1 - 'Perversion' of 1933 Securities Act Charged by Former Employe of SEC AN - 102706300 AB - On March 29, 1933, President Roosevelt sent to Congress a brief message recommending legislation for the "Federal supervision of traffic in investment securities." The President gave utterance, in contrast with the ancient maxim of "caveat emptor," to the new concept, ... JF - New York Times (1923-Current file) AU - By GULLIE B. GOLDIN Member of the New York City Bar AU - Formerly of the General Counsel's Office, Securities and Exchange Commission, Washington Y1 - 1939/06/25/ PY - 1939 DA - 1939 Jun 25 SP - 2 CY - New York, N.Y. SN - 03624331 KW - General Interest Periodicals--United States UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/102706300?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpnewyorktimes&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=New+York+Times+%281923-Current+file%29&rft.atitle=%27Perversion%27+of+1933+Securities+Act+Charged+by+Former+Employe+of+SEC%3A+G.B.+Goldin+Says+Procedure+for+Registration+Has+Been+Twisted+Far+Out+of+Pattern+Congress+Designed+for+It+Registration+Mechanism+Order+Prior+to+Date+Intention+of+Congress+SEES+%27PERVERSION%27+OF+SECURITIES+ACT+Rules+and+Regulations+Queries+on+Procedure+Advancement+of+Date+Sanction+for+Procedure+Effect+on+Registrant+Legislative+Limitations+Introduction+of+Distinctions&rft.au=By+GULLIE+B.+GOLDIN+Member+of+the+New+York+City+Bar%3BFormerly+of+the+General+Counsel%27s+Office%2C+Securities+and+Exchange+Commission%2C+Washington&rft.aulast=By+GULLIE+B.+GOLDIN+Member+of+the+New+York+City+Bar&rft.aufirst=&rft.date=1939-06-25&rft.volume=&rft.issue=&rft.spage=&rft.isbn=&rft.btitle=The+secondary+market+in+securities+transactions&rft.title=The+secondary+market+in+securities+transactions&rft.issn=&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The New York Times N1 - Copyright - Copyright New York Times Company Jun 25, 1939 N1 - Last updated - 2010-05-21 ER - TY - NEWS T1 - SEC Will Cooperate, Not Crack Down; In Next Step of Program for Integration Of Utilities Under Section 11, Says Healy AN - 131221524 AB - I am glad to avail myself of the invitation of The Wall Street Journal to discuss the next steps to be taken under Section 11 of the Public Utility holding Company Act. At the outset it should be clear that this discussion is limited to Section 11 (B) (1) of the Act which contains the integration provisions. JF - Wall Street Journal (1923 - Current file) AU - BY ROBERT E. HEALY Acting Chairman, Securities and Exchange Commission Y1 - 1939/05/11/ PY - 1939 DA - 1939 May 11 SP - 4 CY - New York, N.Y. SN - 00999660 KW - Business And Economics--Banking And Finance UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/131221524?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpwallstreetjournal&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Wall+Street+Journal+%281923+-+Current+file%29&rft.atitle=SEC+Will+Cooperate%2C+Not+Crack+Down%3B+In+Next+Step+of+Program+for+Integration+Of+Utilities+Under+Section+11%2C+Says+Healy&rft.au=BY+ROBERT+E.+HEALY+Acting+Chairman%2C+Securities+and+Exchange+Commission&rft.aulast=BY+ROBERT+E.+HEALY+Acting+Chairman&rft.aufirst=Securities+and+Exchange&rft.date=1939-05-11&rft.volume=&rft.issue=&rft.spage=4&rft.isbn=&rft.btitle=&rft.title=Wall+Street+Journal+%281923+-+Current+file%29&rft.issn=00999660&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The Wall Street Journal N1 - Copyright - Copyright Dow Jones & Company Inc May 11, 1939 N1 - Last updated - 2010-05-27 ER - TY - NEWS T1 - Discusses Position Facing Holders Of Preferred AN - 129974006 AB - Recently I pointed out the urgent necessity for recapitalization of many public utility operating and holding companies in order to open the way for resumption of dividend payments and for new financing. I indicated that many companies now find themselves with large arrearages on their preferred stock and swollen capital structures which block voluntary moves toward rehabilitation of the industry and toward compliance with the program of the Public Utility Holding Company Act. I suggested a cooperative approach to the problem. JF - Wall Street Journal (1923 - Current file) AU - BY WILLIAM O. DOUGLAS Chairman of Securities and Exchange Commission Y1 - 1938/06/08/ PY - 1938 DA - 1938 Jun 08 SP - 7 CY - New York, N.Y. SN - 00999660 KW - Business And Economics--Banking And Finance UR - http://libproxy.lib.unc.edu/login?url=http://search.proquest.com/docview/129974006?accountid=14244 L2 - http://vb3lk7eb4t.search.serialssolutions.com/?ctx_ver=Z39.88-2004&ctx_enc=info:ofi/enc:UTF-8&rfr_id=info:sid/ProQ%3Ahnpwallstreetjournal&rft_val_fmt=info:ofi/fmt:kev:mtx:journal&rft.genre=article&rft.jtitle=Wall+Street+Journal+%281923+-+Current+file%29&rft.atitle=Discusses+Position+Facing+Holders+Of+Preferred%3A+Safeguards+Have+Been+Provided+By+Congress%2C+SEC+Chairman+Notes+Sees+All+Rights+Protected&rft.au=BY+WILLIAM+O.+DOUGLAS+Chairman+of+Securities+and+Exchange+Commission&rft.aulast=BY+WILLIAM+O.+DOUGLAS+Chairman+of+Securities+and+Exchange+Commission&rft.aufirst=&rft.date=1938-06-08&rft.volume=&rft.issue=&rft.spage=7&rft.isbn=&rft.btitle=&rft.title=Wall+Street+Journal+%281923+-+Current+file%29&rft.issn=00999660&rft_id=info:doi/ LA - English DB - ProQuest Historical Newspapers: The Wall Street Journal N1 - Copyright - Copyright Dow Jones & Company Inc Jun 8, 1938 N1 - Last updated - 2010-05-27 ER -