46 Matching Results

Search Results

Advanced search parameters have been applied.
in creator/contributor: "Shorter, Gary"  
Results: 1 - 24 next
open access

SEC Climate Change Disclosure Guidance: An Overview and Congressional Concerns

Description: This report briefly describes the Guidance; provides opposing views on the Guidance, including past congressional legislation; summarizes a study on potential corporate costs and benefits of implementing the Guidance; and examines the impact of the Guidance from the perspectives of investors, corporations, and finance professionals.
Date: August 26, 2013
Creator: Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

The "Pay Ratio Provision" in the Dodd-Frank Act: Legislation to Repeal It in the 113th Congress

Description: This report provides insight into the debate over the pay provision, the SEC proposal to implement the provision, and legislation to repeal the provision. It does so by (1) examining the debate over whether public company executives are overpaid; (2) describing the pay ratio provision and the SEC proposals to implement it; (3) examining various responses to the pay ratio provision and the proposal to implement them; (4) describing legislation to repeal the provision; and (5) examining the publi… more
Date: October 28, 2013
Creator: Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

General Motors' Initial Public Offering: Review of Issues and Implications for TARP

Description: This report analyzes the progress General Motors Company has made since it was created from the sale of the bankrupt Old GM in July 2009 and the major issues related to its anticipated 2010 initial public offering (IPO).
Date: November 10, 2010
Creator: Canis, Bill; Webel, Baird & Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

High-Frequency Trading: Background, Concerns, and Regulatory Developments

Description: This report provides an overview of high-frequency trading (HFT) in the equities and derivatives markets regulated by the SEC and the Commodity Futures Trading Commission (CFTC). It also examines the Flash Crash of 2010 and the role that HFT may have played, as well as recent regulatory developments.
Date: June 19, 2014
Creator: Shorter, Gary & Miller, Rena S.
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

U.S. Motor Vehicle Industry: Federal Financial Assistance and Restructuring

Description: This report focuses on the current situation faced by the Detroit 3, key aspects of their current crisis, including possible consequences of a failure of one or more companies, and some aspects of legislative actions that have been considered to bridge their financial conditions to a more stable situation.
Date: May 29, 2009
Creator: Canis, Bill; Bickley, James M.; Chaikind, Hinda; Pettit, Carol A.; Purcell, Patrick; Rapaport, Carol et al.
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

Enron and Stock Analyst Objectivity

Description: Stock analysts provide research on companies and make recommendations on their stocks. When analysts are employed by brokerage firms and provide information for the firms’ retail and institutional clients, they are called sell-side analysts. Analysts who work specifically for institutional investors like mutual and pension funds are known as buy-side analysts. Because of their widespread presence in the national media, sell-side analysts’ recommendations have become part of the public domain an… more
Date: January 29, 2003
Creator: Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

High Frequency Trading: Overview of Recent Developments

Description: This report provides background on various High-frequency trading (HFT) strategies and some associated policy issues, recent regulatory developments and selected enforcement actions by the SEC and Commodity Futures Trading Commission (CFTC), on HFT, and congressional action such as proposed legislation and hearings related to HFT.
Date: April 1, 2016
Creator: Miller, Rena S. & Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

High Frequency Trading: Overview of Recent Developments

Description: This report provides background on various High-frequency trading (HFT) strategies and some associated policy issues, recent regulatory developments and selected enforcement actions by the SEC and Commodity Futures Trading Commission (CFTC), on HFT, and congressional action such as proposed legislation and hearings related to HFT.
Date: April 4, 2016
Creator: Miller, Rena S. & Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

Department of Labor's 2016 Fiduciary Rule: Background and Issues

Description: This report discusses fiduciary standard with respect to his or her advice, an individual had to, which include: (1) make recommendations on investing in, purchasing, or selling securities or other property, or give advice as to the value (2) on a regular basis (3) pursuant to a mutual understanding that the advice (4) will serve as a primary basis for investment decisions, and (5) will be individualized to the particular needs of the plan regarding such matters as, among other things, investme… more
Date: July 3, 2017
Creator: Topoleski, John J. & Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

Employee Ownership of Registration-Exempt Company Securities: Proposals to Reform Required Corporate Disclosures (Section 507 of S. 2155, S. 488, H.R. 1343, and Section 406 of H.R. 10)

Description: This report discusses SEC registration requirements and the exemption from registration for small and mid-size companies. Recent legislation regarding the rules in the House and Senate is also included.
Date: April 3, 2018
Creator: Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

Venture Capital Funds: Proposals to Expand Investor Thresholds Required for Registration (Section 504 of S. 2155, Section 471 of H.R. 10, H.R. 1219, S. 444, and Section 914 of H.R. 3280)

Description: This report discusses venture capital funds and the rules regarding information they must release to investors along with recent legislation related to the issue.
Date: March 30, 2018
Creator: Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

Dark Pools in Equity Trading: Policy Concerns and Recent Developments

Description: This report examines the confluence of factors that led to the rise of dark pools; the potential benefits and costs of such trading; some regulatory and congressional concerns over dark pools; recent regulatory developments by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), which oversees broker-dealers; and some recent lawsuits and enforcement actions garnering significant media attention.
Date: September 26, 2014
Creator: Shorter, Gary & Miller, Rena S.
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

"Dark Pools" In Equity Trading: Significance and Recent Developments

Description: This report discusses "Dark Pools", relatively recent and controversial electronic stock trading alternatives to traditional exchanges, such as the New York Stock Exchange (NYSE), and now account for about 15% of overall trading volume. The report discusses the pros and cons of "dark trading", civil suits in reaction to Dark Pools and recent Securities and Exchange Commission actions.
Date: August 27, 2014
Creator: Shorter, Gary & Miller, Rena S.
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

S. 488, H.R. 1343, and Section 406 of H.R. 10: Encouraging Employee Ownership

Description: This report provides background and a policy discussion of similar legislation, S. 488, H.R. 1343 (which passed the House on April 4, 2017), and Section 406 in H.R. 10, the Financial CHOICE Act, which passed the House on June 8, 2017. According to H.R. 1343's sponsor, Representative Randy Hultgren, the legislation is aimed at "eas[ing] the ability of companies to offer ownership to their ... employees."
Date: August 22, 2017
Creator: Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

The Financial CHOICE Act in the 115th Congress: Selected Policy Issues

Description: This report highlights major proposals included in the Financial CHOICE Act (FCA) but is not a comprehensive summary. In general, the bill proposes changes that can be divided into two categories: (1) changes to financial policies and regulations and (2) changes to the regulatory structure and rulemaking process. Major policy-related changes proposed by the FCA include the following: Leverage Ratio, Regulatory Relief, To Big To Fail, Funding, Rulemaking, Judicial Review, Enforcement, the Consum… more
Date: September 8, 2017
Creator: Labonte, Marc; Carpenter, David H.; Davis, Christopher M.; Perkins, David W.; Shorter, Gary & Webel, Baird
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

Section 471 of H.R. 10, H.R. 1219, S. 444, and Section 914 of H.R. 3280: Supporting America's Innovators

Description: This report discusses various current bills in Congress that are related to to increasing business innovation and easing regulation on securities and venture-capitol firms. Brief outlines of the goals of each bill and their current progress along with arguments for and against them are presented.
Date: September 12, 2017
Creator: Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

H.R. 79, Section 452 of H.R. 10, and Section 913 of H.R. 3280: Helping Angels Lead Our Startups

Description: This report discusses policy issues related to the extension of the Jumpstart Our Business Startups (JOBS) Act of 2012 focused on corporate regulatory relief and recent legislation in Congress known as the Helping Angels Lead Our Startups Act.
Date: August 22, 2017
Creator: Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

"Regulatory Relief" for Banking: Selected Legislation in the 114th Congress

Description: This report discusses regulatory relief legislation for banks in the 114th Congress that has seen floor action or has been ordered to be reported by a committee. Many, but not all, of the bills would make changes to the Dodd-Frank Act (P.L. 111-203), a wide-ranging financial reform enacted in response to the financial crisis.
Date: January 19, 2016
Creator: Hoskins, Sean M.; Gnanarajah, Raj; Labonte, Marc; Murphy, Edward V. & Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

Financial Regulatory Reform and the 111th Congress

Description: Financial regulatory reform is being discussed in the 111th Congress, the continuation of a policy debate that began before the September 2008 financial disruption. This report reviews issues related to financial regulation. It provides brief descriptions of comprehensive reform bills in the 111th Congress that addresses these issues.
Date: March 31, 2010
Creator: Webel, Baird; Carpenter, David H.; Labonte, Mark; Miller, Rena S.; Murphy, Edward V. & Shorter, Gary
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
open access

Excessive CEO Pay: Background and Policy Approaches

Description: This report provides Background and Policy Approaches about Excessive CEO Pay where average pay for non-management workers has stagnated after adjustment for inflation, falling slightly since the early 1970's.
Date: November 29, 2007
Creator: Shorter, Gary; Jickling, Mark & Raab, Alison
Item Type: Refine your search to only Report
Partner: UNT Libraries Government Documents Department
Back to Top of Screen