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Dissertations / Theses on the topic 'Securities and Exchange Commission'

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Published: 4 June 2021

Last updated: 25 July 2025

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1

Shin, Hyundan. "The securities and exchange commission and equity issues." The Ohio State University, 1995. http://rave.ohiolink.edu/etdc/view?acc_num=osu1259088014.

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2

Shin, Hyun-Han. "The Securities and Exchange Commission and Equity Issues /." The Ohio State University, 1995. http://rave.ohiolink.edu/etdc/view?acc_num=osu1487928649988513.

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3

Spansk, Mattis. "Europe Calls →FEBI eller ESEC? : - Financial European Bureau of InvestigationellerEuropean Securities and Exchange Commission." Thesis, Uppsala universitet, Företagsekonomiska institutionen, 2021. http://urn.kb.se/resolve?urn=urn:nbn:se:uu:diva-439573.

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Min ambition är att med aktuellt material samt med en handfull adekvata metoder pröva mintes om att det krävs en central europeisk myndighet, med såväl polis, åklagare som domstol,som är underställd justitiedepartementen med fullt mandat för att komma tillrätta med en utavvår tids största globala organiserade brottsligheter, Penningtvätt. Detta hotar samhälletsförtroende för kapitalmarknaderna, kan leda till finansiell systemkris och på det stora helasåledes vårt moderna sätt att leva. Samhällskontraktet mellan staten och dess medborgareutmanas. Människans innersta väsen, med en epigenetisk ti

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4

Conac, Pierre-Henri. "La régulation des marchés boursiers par la Commission des opérations de bourse (COB) et la "Securities and Exchange Commission" (SEC)." Paris 1, 1999. http://www.theses.fr/1999PA010257.

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La securities and exchange commission (SEC), aux États-Unis, et la commission des opérations de bourse (COB), en France, ont été créées pour assurer une mission de régulation des marchés boursiers. La régulation administrative consiste, dans le domaine des marchés boursiers, à assurer, de manière neutre c'est-à-dire non partisane politiquement, l'encadrement par le droit de cette sphère d'activité économique afin de veiller à son bon fonctionnement, spécialement en luttant contre les fraudes, et à la développer. Il n'est pas contestable que la SEC et la COB, chacune avec une propension particu

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Conac, Pierre-Henri. "La régulation des marchés boursiers par la Commission des opérations de bourse, COB et la Securities and exchange commission, SEC /." Paris : LGDJ, 2002. http://catalogue.bnf.fr/ark:/12148/cb389268212.

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6

DUBEUX, JULIO RAMALHO. "BRAZILIAN SECURITIES AND EXCHANGE COMMISSION AND THE MAIN LEGAL INSTRUMENTS USED TO REGULATE BRAZILIAN CAPITAL MARKET." PONTIFÍCIA UNIVERSIDADE CATÓLICA DO RIO DE JANEIRO, 2005. http://www.maxwell.vrac.puc-rio.br/Busca_etds.php?strSecao=resultado&nrSeq=7668@1.

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As últimas décadas têm se caracterizado pela intervenção estatal na economia mediante a atuação de diversas entidades administrativas reguladoras. A presente dissertação tem por objetivo analisar a estrutura legal da Comissão de Valores Mobiliários (CVM) e os principais instrumentos usados para a regulação do mercado de capitais brasileiro. Seguindo o modelo regulatório norte- americano, a CVM possui desenho institucional de entidade reguladora independente. A regulação que ela estabelece segue os princípios da política de disclosure. Para cumprir o seu papel, a CVM se vale de instrument

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7

Lawal, Bello. "Securities and exchange commission code of best practices and the quality of corporate governance in Nigeria." Thesis, Glasgow Caledonian University, 2014. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.636818.

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This thesis examines the effects of board structure characteristics on firm performance within the context of the recommendations offered in the Securities and Exchange Commission's Code of Corporate Governance. The study adopts an integrated research framework combining four distinct theories including agency, stewardship, stakeholders and resource dependency models. The analyses were based on data drawn from a sample of 127 listed companies on the Nigerian Stock Exchange covering a twelve-year period (1999-2010), an era of significant corporate governance evolution in Nigeria. Consistent wit

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8

Grobecker, Reeve. "The Effect of Shifting Cases from District Courts to Administrative Proceedings at the Securities and Exchange Commission." Scholarship @ Claremont, 2019. https://scholarship.claremont.edu/cmc_theses/2274.

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Using a set of 4708 observations, we analyze the impact of Dodd-Frank on shifting cases from federal courts to administrative courts. Overall, we find that there is a higher probability of a case being an administrative proceeding post Dodd-Frank. In addition, we find a higher average total payment for administrative proceedings post Dodd-Frank, and a lower average total payment for federal court cases post Dodd-Frank. We also find a higher average disgorgement payment for administrative proceedings post Dodd-Frank. While this finding could be the result of the SEC shifting more complex and th

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9

Grosjean, Sophie. "La règlementation et la régulation de la Securities and Exchange Commission américaine : réflexions sur les dynamiques de la mondialisation." Thesis, Paris 1, 2016. http://www.theses.fr/2016PA01D068.

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La mondialisation, qui n’est ni l’internationalisation ni la globalisation, est un phénomène en perpétuelle mouvance mû par diverses dynamiques, interactions et interdépendances. La SEC, avec une stratégie unilatéraliste marquée, s’est elle-même adaptée aux évolutions et réactions internationales. Des vecteurs internes d’adaptation ont abouti au développement des caractéristiques de la réglementation de la SEC et sur l’interrégulation de celle-ci. Marques prégnantes d’un nationalisme juridique offensif, l’acculturation juridique de la SEC, ainsi que le développement tentaculaire et subtil de l

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10

Lyford, Henry. "Conflict of Interest?: Executive-Auditor Relationship and the Likelihood of a SEC-Prompted Restatement." Scholarship @ Claremont, 2010. http://scholarship.claremont.edu/cmc_theses/39.

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This study examines the relationship between executives and their independent auditor to see if there is a conflict of interest in their interaction. This study was motivated by the meltdowns, partially caused by fraudulent accounting, of many public companies in the late 1990s and early 2000s and the consequent passage of the Sarbanes-Oxley Act. This study examines the variables of audit fees, fees for other services, and auditor tenure to see if they are connected with the occurrence of an SEC-prompted restatement. The results show no significant correlation between amount of fees and the

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11

Taupin, Benjamin. "Le maintien institutionnel comme travail de justification : le cas de l'industrie de la notation du crédit." Paris 9, 2011. http://basepub.dauphine.fr/xmlui/handle/123456789/8004.

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Le travail institutionnel de maintien n’a été que rarement étudié dans les analyses néoinstitutionnelles. Nous proposons d’instruire cette notion grâce à l’étude empirique de la notation de crédit. L’industrie de la notation de crédit est le lieu d’un paradoxe qui tient à l’opposition entre la vigoureuse résistance dont elle fait la preuve alors qu’elle est dans le même temps fortement critiquée. En nous basant sur l’approche des économies de la grandeur de Boltanski et Thévenot, nous procédons à l’analyse du travail institutionnel de justification réalisé par les acteurs lors des consultation

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12

Ferreira, Laila Cristina Duarte. "Divulgação de informações no mercado de valores mobiliários brasileiro: a regulação da atividade jornalística." Universidade de São Paulo, 2013. http://www.teses.usp.br/teses/disponiveis/2/2132/tde-10012014-102009/.

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Em um mercado tão fortemente regulado como o de valores mobiliários, principalmente no que tange à divulgação de informações, é pertinente a indagação sobre a viabilidade de uma regulação específica sobre a atividade do jornalista especializado na área (o jornalista financeiro). O jornalista financeiro possui papel relevante neste mercado, pois atua na democratização da informação, atingindo, principalmente, os pequenos investidores. Todavia, a atividade jornalística, não realizada em conformidade com os objetivos do mercado de capitais, pode acarretar diversos problemas a este setor, advindos

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Almeida, Cesar de Alencar Leme de. "A atuação dos comitês de auditoria e conselhos fiscais nas empresas brasileiras sujeitas à regulamentação da SEC - Securities and Exchange Commission dos Estados Unidos da América." Pontifícia Universidade Católica de São Paulo, 2008. https://tede2.pucsp.br/handle/handle/1697.

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Made available in DSpace on 2016-04-25T18:40:30Z (GMT). No. of bitstreams: 1 Cesar de Alencar Leme de Almeida.pdf: 655055 bytes, checksum: f39f9ce0ebf4e900239c0acb570a56ae (MD5) Previous issue date: 2008-06-09<br>More and more, Brazilian companies have offered their securities to the investment public at international stock exchanges, especially the New York Stock Exchange. However, financially attractive to issuers as compared to other fund-raising sources, a public offering abroad calls for compliance with other regulatory requirements. In the case of the US, the financial scandals publici

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Sharma, Vineeta Divesh, and N/A. "The Effects of Independent Audit Committee Member Characteristics and Auditor Independence on Financial Restatements." Griffith University. Department of Accounting, Finance and Economics, 2006. http://www4.gu.edu.au:8080/adt-root/public/adt-QGU20071108.143642.

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The U.S. Securities and Exchange Commission (SEC) continues to reform the corporate governance mechanisms in order to improve the quality of financial reporting and thus, enhance the confidence of investors in the stock market and in the accounting profession. Despite the efforts of the SEC, financial reporting scandals continue with record numbers of financial restatements documented by the General Accounting Office. A financial restatement is a correction of a previously misstated financial statement. There is a small volume of literature examining the effects of corporate governance mechan

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Gabaï, Karine. "L' analyse financière en droit français à la lumière du droit européen et des droits anglais et nord-américain." Paris 1, 2010. http://www.theses.fr/2010PA010276.

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Au début des années 2000, les scandales financiers ont altéré la confiance des investisseurs dans la valeur de la recherche en investissement. A la suite de la manifestation de biais récurrents dans la divulgation de la recherche, la réputation des analystes financiers a été entachée ainsi que leur compétence. Parce que ces acteurs économiques jouent un rôle fondamental dans la production et la transmission de l'information, qu'ils fournissent aux investisseurs de la recherche en investissement qui a de la valeur, ils exercent une influence considérable sur les marchés. Cette défiance à l'égar

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Sharma, Vineeta Divesh. "The Effects of Independent Audit Committee Member Characteristics and Auditor Independence on Financial Restatements." Thesis, Griffith University, 2006. http://hdl.handle.net/10072/366715.

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The U.S. Securities and Exchange Commission (SEC) continues to reform the corporate governance mechanisms in order to improve the quality of financial reporting and thus, enhance the confidence of investors in the stock market and in the accounting profession. Despite the efforts of the SEC, financial reporting scandals continue with record numbers of financial restatements documented by the General Accounting Office. A financial restatement is a correction of a previously misstated financial statement. There is a small volume of literature examining the effects of corporate governance mechan

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17

SILVA, PAULO FERREIRA DIAS DA. "THE BRAZILIAN SECURITIES AND EXCHANGE COMMISSION (CVM) AND BANKING SECRECY INTO YHE BRAZILIAN CONSTITUTION: BALANCE BETWEEN THE RIGHT TO PRIVACY AND THE DUTY TO PROTECT THE SAVINGS FROM THE GENERAL PUBLIC." PONTIFÍCIA UNIVERSIDADE CATÓLICA DO RIO DE JANEIRO, 2013. http://www.maxwell.vrac.puc-rio.br/Busca_etds.php?strSecao=resultado&nrSeq=27763@1.

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PONTIFÍCIA UNIVERSIDADE CATÓLICA DO RIO DE JANEIRO<br>COORDENAÇÃO DE APERFEIÇOAMENTO DO PESSOAL DE ENSINO SUPERIOR<br>PROGRAMA DE SUPORTE À PÓS-GRADUAÇÃO DE INSTS. DE ENSINO<br>A Comissão de Valores Mobiliários (CVM) é a entidade estatal que regula o mercado de valores mobiliários brasileiro (MVM). Tal função abrange uma ampla gama de ações, dentre as quais a edição e a promoção do cumprimento de normas incidentes sobre as atividades econômicas desenvolvidas no MVM, a apuração das infrações a essas normas e a aplicação de penalidades ao final do curso de processos administrativos. Algumas dess

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Costa, Isac Silveira da. "High frequency trading (HFT) em câmera lenta: compreender para regular." reponame:Repositório Institucional do FGV, 2018. http://hdl.handle.net/10438/20720.

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Submitted by Isac Costa (isac.costa@gmail.com) on 2018-03-29T03:00:24Z No. of bitstreams: 1 COSTA, Isac. HFT - Compreender para Regular (2018).pdf: 2204316 bytes, checksum: 34d586d9b8bca337d4f2631f417e7c8d (MD5)<br>Rejected by Katia Menezes de Souza (katia.menezes@fgv.br), reason: Prezado Isac, Para que possamos aprovar seu trabalho são necessários alguns ajustes conforme norma ABNT/APA. ESTRUTURA: Capa (obrigatório) – No final da página a informação “2018” deverá constar abaixo da frase “São Paulo” e não ao lado como consta atualmente. Ficha catalográfica – Excluir a informação “

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19

Silva, Anderson Rodrigues da. "Aspectos regulatórios da bolsa de valores no Brasil." Pontifícia Universidade Católica de São Paulo, 2018. https://tede2.pucsp.br/handle/handle/20876.

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Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2018-03-16T12:13:24Z No. of bitstreams: 1 Anderson Rodrigues da Silva.pdf: 678300 bytes, checksum: 39f8f1ad9d537878a75d76630333f2b0 (MD5)<br>Made available in DSpace on 2018-03-16T12:13:24Z (GMT). No. of bitstreams: 1 Anderson Rodrigues da Silva.pdf: 678300 bytes, checksum: 39f8f1ad9d537878a75d76630333f2b0 (MD5) Previous issue date: 2018-02-23<br>Over the past decades, technological advances have been so significant, that it was not possible to accurately measure such effects; however, it is possible to say that communities worldwide

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Tanji, Márcia. "Mercado de capitais brasileiro e tutela coletiva dos interesses." Universidade de São Paulo, 2009. http://www.teses.usp.br/teses/disponiveis/2/2132/tde-03052010-095553/.

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O presente trabalho tem por objetivo analisar em que medida os instrumentos para a tutela coletiva de interesses transindividuais previstos no ordenamento jurídico brasileiro, em especial a ação coletiva, podem contribuir para o fortalecimento do mercado de capitais. Apresenta-se inicialmente a evolução histórica do mercado de capitais brasileiro. É apresentado o debate doutrinário a respeito das principais justificativas para a regulação e auto-regulação do mercado de capitais, seguido do panorama dos instrumentos atribuídos pelo legislador brasileiro à Comissão de Valores Mobiliários, às ent

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Rosa, Maria Eduarda Fleck da. "O poder normativo da Comissão de Valores Mobiliários." Universidade de São Paulo, 2012. http://www.teses.usp.br/teses/disponiveis/2/2132/tde-20032013-140738/.

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A presente dissertação tem por objeto a análise do poder normativo da Comissão de Valores Mobiliários, que pautar-se-á pelo estudo da Teoria Geral do Direito. Para isso, contribuições de diversos campos do conhecimento serão utilizadas, tais como a teoria analítica da norma, a lógica deôntica, a teoria da linguagem, bem como aportes advindos de outras áreas do conhecimento, como da ciência econômica. Ao longo do trabalho, procuraremos responder a três perguntas chaves que, para o que aqui nos propusemos, serão de grande valia na fixação dos limites a serem observados pela Comissão de Valores M

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Bartholow, Janet Lee Hahn. "An Empirical Study of Insider Behaviors: Affiliated Insiders, and Legislative and Enforcement Efforts." Kent State University / OhioLINK, 2017. http://rave.ohiolink.edu/etdc/view?acc_num=kent1511537806198499.

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Almeida, David de. "Desafios tributários ao financiamento das sociedades empresariais por meio de instrumentos financeiros híbridos." reponame:Repositório Institucional do FGV, 2018. http://hdl.handle.net/10438/20695.

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Submitted by David de Almeida (david@almeidafroner.com.br) on 2018-03-23T17:06:44Z No. of bitstreams: 1 fgv-mestrado-profissional-David-TCC-versão-final-editada.pdf: 646372 bytes, checksum: ddda42bdfa2dcf2064ec69d2009cc4cd (MD5)<br>Approved for entry into archive by Thais Oliveira (thais.oliveira@fgv.br) on 2018-03-26T23:13:37Z (GMT) No. of bitstreams: 1 fgv-mestrado-profissional-David-TCC-versão-final-editada.pdf: 646372 bytes, checksum: ddda42bdfa2dcf2064ec69d2009cc4cd (MD5)<br>Approved for entry into archive by Suzane Guimarães (suzane.guimaraes@fgv.br) on 2018-03-27T14:08:35Z (GMT) No.

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Zanotta, Alexandre. "Regulação e auto-regulação no mercado de capitais brasileiro." Pontifícia Universidade Católica de São Paulo, 2005. https://tede2.pucsp.br/handle/handle/9113.

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Made available in DSpace on 2016-04-26T20:30:36Z (GMT). No. of bitstreams: 1 Regulacao e Auto Regulacao no Mercado de Capitais Brasileiro.PDF: 673161 bytes, checksum: 9ab570c96f0d0a0ee56517005213a4f4 (MD5) Previous issue date: 2005-08-08<br>nenhum<br>This work intends to bring a contribution for the debate about the adequacy of the current regulation system of the Brazilian capital markets and to propose a solution for its enhancement, with the intention to increase the number and the quality of the transactions held in such market, and to make them safer for investors. In this context, it w

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Nicolielo, Nícolas Cesar Juliano Butros Prestes. "O instituto de benefício particular nas assembléias gerais de sociedades anônimas." Universidade de São Paulo, 2013. http://www.teses.usp.br/teses/disponiveis/2/2132/tde-12022014-110753/.

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O presente trabalho tem por objetivo traçar os principais contornos do instituto do benefício particular, positivado na legislação brasileira por meio do artigo 115, §1º, da Lei n. 6.404/76, diferenciando-o do instituto relativo ao interesse conflitante nas sociedades, insculpido no mesmo dispositivo supra citado. A partir da análise do Direito Comparado, constatou-se que o benefício particular, tal como o conhecemos hoje no Brasil, tem origem na legislação francesa, especificamente nas Leis de 17 de julho de 1956 e 24 de julho de 1867. Os contornos de sua conceituação, portanto, estão intimam

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Garner, Steve A. "A Study of Firm Location to Examine Disclosures and Governance Using a Dual Approach: Quantitative Analysis Based Upon the Sarbanes-Oxley Act of 2002 and Qualitative Analysis of the Annual Report’s Management Discussion and Analysis." Thesis, University of North Texas, 2015. https://digital.library.unt.edu/ark:/67531/metadc799474/.

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The purpose of this dissertation is to investigate the effect of U.S. firms’ geographic location, whether urban or rural, on their corporate disclosure and governance practices. An “urban” firm is one that is headquartered in a large metropolitan area; whereas, a “rural” firm is one that is headquartered some distance from any metropolitan area. Specifically, the study examines whether there are different stock market reactions to urban and rural firms around key event dates relative to the enactment of the Sarbanes-Oxley Act (SOX) on July 30, 2002. Also, the readability and linguistic style i

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Zhu, Hong. "Reforming the China Securities Regulatory Commission, towards efficient and effective regulation of China's securities markets." Thesis, National Library of Canada = Bibliothèque nationale du Canada, 1996. http://www.collectionscanada.ca/obj/s4/f2/dsk3/ftp04/MQ44080.pdf.

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Zhu, Hong 1968. "Reforming the China Securities Regulatory Commission : towards efficient and effective regulation of China's securities markets." Thesis, McGill University, 1996. http://digitool.Library.McGill.CA:80/R/?func=dbin-jump-full&object_id=20146.

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Today, China's securities markets are facing a number of regulatory problems. Many central regulatory problems arise from the fragmented regulatory system, which is not effectively structured to further the goals of securities legislation.<br>The purpose of this thesis is to review, and make recommendations in respect of, the securities regulatory system in China with particular attention to the regulatory role of the China Securities Regulatory Commission (CSRC).<br>After examining the characteristics of China's securities market development and identifying existing problems in the regulatory

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Kornik, Jonathan. "Predicting extreme performers on the JSE securities exchange." Master's thesis, University of Cape Town, 2006. http://hdl.handle.net/11427/11142.

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Includes bibliographical references.<br>In this context, this thesis builds on the prior literature on extreme performance by Reinganum (1988), Glickman, DiRienzo and Ochman (2001), O'Neil (2002) and Dong, Duan and Jang (2003), where an extreme winner (loser) is a stock which at least doubles (halves) in a twelve month period. The research is conducted on the JSE Securities Exchange over the ten year period from January 1995 until December 2004. The dataset employed contains monthly data for 213 companies listed on this exchange, incorporating 7807 (5397) unique company months of extreme gain

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Vimolsiri, Porametee Carleton University Dissertation Economics. "Three essays on the securities exchange of Thailand." Ottawa, 1994.

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Huang, Yuqin. "Two essays on the exchange-listed volatility derivatives." Click to view the E-thesis via HKUTO, 2009. http://sunzi.lib.hku.hk/hkuto/record/B43278711.

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IIJIMA, YOSHIHIKO. "RISK DISCLOSURE IN SECURITIES EXCHANGE AND MEDICAL TREATMENT CONTRACTS." Nagoya University School of Medicine, 2009. http://hdl.handle.net/2237/11337.

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Nyirenda, Mandhlaenkosi. "Board composition in companies listed on the Johannesburg Securities Exchange." Diss., University of Pretoria, 2010. http://hdl.handle.net/2263/25622.

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It is necessary to address the nature of board composition in the South African economy because boards of directors are the lead indicator of whether or not the transformation initiatives put in place since 1994 are effective in bringing about meaningful change in the society within which we live. Companies are a microcosm of society. A hundred randomly selected companies were used to provide demographic data which was used in the analysis for this study. The aim was to identify what constitutes a typical board of directors for a Johannesburg Securities Exchange listed company by measuring dim

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Huang, Yuqin, and 黃瑜琴. "Two essays on the exchange-listed volatility derivatives." Thesis, The University of Hong Kong (Pokfulam, Hong Kong), 2009. http://hub.hku.hk/bib/B43278711.

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Gelderblom, Christo. "JSE securities exchange : is there a justification for low voting shares?" Thesis, Stellenbosch : Stellenbosch University, 2006. http://hdl.handle.net/10019.1/20750.

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A Research Report presented to the Graduate School of Business of the University of Stelienbosch in partial fulfilment of the requirements for the degree of Master of Business Administration<br>Thesis (MBA)--Stellenbosch University, 2006.<br>ENGLISH ABSTRACT: Certain companies in South Africa have dual classes of shares listed on the JSE Securities Exchange i.e. ordinary shares and N shares. Ordinary listed shares, nonmally holds one vote per share, are referred to as superior voting shares. Restricted voting shares have restricted voting benefits to the shareholders, in some cases one vot

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Munetsi, Raramai Patience. "Testing the influence of herding behaviour on the Johannesburg Securities Exchange." University of the Western Cape, 2018. http://hdl.handle.net/11394/6815.

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Magister Commercii - MCom<br>Since the discovery of herding behaviour in financial markets in the 1990s, it has become an area of interest for many investors, practitioners and scholars. Herding behaviour occurs when investors and market participants trade in the same direction during the same time period, as a result of the influence of other investors. Studies on herding behaviour have been undertaken in both the developed and developing economies and majority of these studies have confirmed the existence of herding behaviour in the stock markets. Despite its tremendous growth, the South Afr

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Robertson, Michael N. "Firm-specific attributes and the cross-section of JSE securities exchange returns." Doctoral thesis, University of Cape Town, 2002. http://hdl.handle.net/11427/8785.

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Includes bibliographical references.<br>The empirical counterpart of a theory of asset prices is a model of the cross-section of security returns. Empirical tests of the Capital Asset Pricing Model (CAPM) of Sharpe (1964), Lintner (1965), Mossin (1966) and Black (1972) using cross-sectional methodologies have identiﬁed numerous cases where variables apart from beta explain expected returns. Initially termed 'anomalies', these empirical violations of the theory are frequently associated with ﬁrm-speciﬁc attribute data. Traditional views of market efﬁciency however rule out the ability to predic

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Bisagaya, Andrew. "Examining the adequacy of South African off-exchange equity securities trading regulation." Master's thesis, University of Cape Town, 2017. http://hdl.handle.net/11427/27489.

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The recent years have seen the recognition of Multilateral Trading Facilities and Alternative Trading avenues in the American and European stock markets. This was required as the markets had grown and regulators were left perpetually behind their needs. This paper looks at whether South Africa has any such facilities/avenues and whether they are adequately regulated. These facilities/avenues allow investors to trade in equity securities away from the exchange on which they are listed. With their increased use however, there are policy concerns that arise that revolve around; price discovery, i

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Strugnell, Dave. "Beta, size and value effects on the JSE Securities Exchange, 1994-2007." Master's thesis, University of Cape Town, 2010. http://hdl.handle.net/11427/5806.

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Treptow, Felix. "The economics of demutualization : an empirical analysis of the securities exchange industry /." Wiesbaden : Dt. Univ.-Verl, 2006. https://www.lib.umn.edu/slog.phtml?url=http://www.myilibrary.com?id=134360.

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Wu, Di. "The New York Stock Exchange/Euronext merge." CSUSB ScholarWorks, 2007. https://scholarworks.lib.csusb.edu/etd-project/3309.

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Liu, Shinhua. "Overseas stock listings and delistings : causes and effects /." free to MU campus, to others for purchase, 2001. http://wwwlib.umi.com/cr/mo/fullcit?p3025636.

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Watermeyer, Renen. "The JSE Stock Exchange News Service : the impact of SENS announcements on trading activity on the JSE securities exchange." Master's thesis, University of Cape Town, 2011. http://hdl.handle.net/11427/11418.

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Includes bibliographical references (leaves 90-92).<br>Almost all models of market behaviour in some way or another, suppose some causality between news or information, and market prices. This study seeks to explore the relationship between information and the behaviour of investors. Specifically, it will examine the impact of Stock Exchange News Service Announcements (SENS Announcements) on trading volumes.

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Lu, You 1972. "The significance of foreign exchange risk in the international real estate securities investment." Thesis, Massachusetts Institute of Technology, 2000. http://hdl.handle.net/1721.1/32201.

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Thesis (S.M.)--Massachusetts Institute of Technology, Dept. of Urban Studies and Planning, 2000.<br>Includes bibliographical references (leaves 111-112).<br>Traditionally, international real estate investments are mainly conducted through direct investments in foreign properties. Due to the recent securitization and globalization trends in the real estate capital markets, the international real estate securities investment has been growing fast and gaining more popularity than the direct real estate investment because of its absence of the portfolio management and monitoring problems. Foreign

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Kornik, David. "The relationship between annual earnings and share returns on the JSE Securities Exchange." Master's thesis, University of Cape Town, 2005. http://hdl.handle.net/11427/5626.

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Includes bibliographical references (leaves 91-99).<br>This research study investigates whether the relationship between accounting earnings and share returns observed predominantly in New York Stock Exchange (“NYSE”) studies also holds on the modern-day JSE Securities Exchange (“JSE”). Since the JSE is a relatively small stock exchange in comparison to the NYSE, with substantially different characteristics, the nature of the relationship may differ between the two exchanges. The study finds empirical evidence that this relationship between earnings and share returns is the same. As on the NYS

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Venkatraman, Pearl. "The share price reaction to credit rating announcements on the Johannesburg Securities Exchange." Diss., University of Pretoria, 2015. http://hdl.handle.net/2263/52345.

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This report examines the JSE for any inefficiency that may exist with regard to the information content of credit rating announcements. Specifically, it tests the extent to which credit rating actions have an impact on share returns; the extent to which the credit rating agency influences abnormal returns; and finally the extent to which firm size impacts abnormal returns within the context of credit ratings announcements. An event study methodology was performed on 364 credit rating announcements of listed companies on the JSE between 1 January 2005 and 31 December 2013 in order to analyse t

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Al-hussieni, Sami. "Exchange listing and shareholder wealth: Canadian evidence." Ottawa, 1998.

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YU, CHIH-HUANG, and 游志煌. "A Study on the Protection of Securities Fraud Investors – Focus on Reinforcing the Enforcement Tools of our Securities Regualtor by reference to the US Securities and Exchange Commission." Thesis, 2018. http://ndltd.ncl.edu.tw/handle/24xuzh.

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博士<br>東吳大學<br>法律學系<br>106<br>The effective enforcement of the securities regulation depends on the joint efforts of the investors, securities regulator and the prosecutors. It appears that the legal mechanism for the enforcement of the securities regulation in Taiwan focuses more on civil remedies and criminal prosecution for recent years. With respect to the criminal prosecution, the Securities and Exchange Act has been revised twice since 1988 to elevate the criminal liabilities of the securities fraud. However, according to several empirical studies, the prosecution rate, conviction rate

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Curling, Michelle Lisa. "Mandatory 10-K amendments and strategic disclosure an examination of firms under review by the securities and exchange commission /." 2006. http://etda.libraries.psu.edu/theses/approved/WorldWideIndex/ETD-1410/index.html.

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Sivolella, John Joseph. "Do Politics Matter to this Watchdog? The Effects of Ideology on Civil Enforcement at the U.S. Securities and Exchange Commission." Thesis, 2013. https://doi.org/10.7916/D86979XG.

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My goal in this dissertation is to examine whether the political ideology of the federal courts, as well as the ideology of political principals in Congress and the executive branch, affect the decision making and behavior of an independent U.S. agency. The agency's decision making pertains specifically to the application of its powers both directly through its politically appointed leadership and bureaucrats, and indirectly through a private litigation regime, in a policy area - civil enforcement - that should normatively be mostly free from politics. As a foundation for the study, I analyze

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