This system will be undergoing maintenance Monday, January 23 from 8:00 AM to 12:00 PM CST.
Proxy Access Reform Being Considered by the SEC: An Overview

Proxy Access Reform Being Considered by the SEC: An Overview

Date: May 20, 2010
Creator: Shorter, Gary
Description: This report discusses the Securities and Exchange Commission (SEC) role that oversees matters related to the content of proxy materials.
Contributing Partner: UNT Libraries Government Documents Department
The "Pay Ratio Provision" in the Dodd-Frank Act: Legislation to Repeal It in the 113th Congress

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

Date: October 28, 2013
Creator: Shorter, Gary
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 public policy debate over the potential costs and benefits of the pay ratio provision and the implementation proposal.
Contributing Partner: UNT Libraries Government Documents Department
SEC Climate Change Disclosure Guidance: An Overview and Congressional Concerns

SEC Climate Change Disclosure Guidance: An Overview and Congressional Concerns

Date: August 26, 2013
Creator: Shorter, Gary
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.
Contributing Partner: UNT Libraries Government Documents Department
SEC Climate Change Disclosure Guidance: An Overview and Congressional Concerns

SEC Climate Change Disclosure Guidance: An Overview and Congressional Concerns

Date: May 24, 2012
Creator: Shorter, Gary
Description: Issues regarding the Congressional appeal of the January 27, 2010 SEC-published 'Commission Guidance Regarding Disclosure Related to Climate Change', which clarifies how publicly traded corporations should apply existing SEC disclosure rules to certain mandatory financial filings with the SEC regarding the risk that climate change developments may have on their businesses.
Contributing Partner: UNT Libraries Government Documents Department
Credit Rating Agency Regulatory Reform: A Side-by-Side Comparison of H.R. 2990 and S. 3850

Credit Rating Agency Regulatory Reform: A Side-by-Side Comparison of H.R. 2990 and S. 3850

Date: September 19, 2006
Creator: Shorter, Gary
Description: This report provides a side-by-side comparison of the H.R. 2990 and S. 3850 bills’ major provisions.
Contributing Partner: UNT Libraries Government Documents Department
Securities Litigation Reform: Unfinished Business?

Securities Litigation Reform: Unfinished Business?

Date: July 14, 1998
Creator: Shorter, Gary
Description: None
Contributing Partner: UNT Libraries Government Documents Department
Should the Federal Government Sponsor a National Lottery?: Some Preliminary Considerations

Should the Federal Government Sponsor a National Lottery?: Some Preliminary Considerations

Date: March 11, 1985
Creator: Shorter, Gary
Description: None
Contributing Partner: UNT Libraries Government Documents Department
High-Frequency Trading: Background, Concerns, and Regulatory Developments

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

Date: June 19, 2014
Creator: Shorter, Gary & Miller, Rena S.
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.
Contributing Partner: UNT Libraries Government Documents Department
"Dark Pools" In Equity Trading: Significance and Recent Developments

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

Date: August 27, 2014
Creator: Shorter, Gary & Miller, Rena S.
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.
Contributing Partner: UNT Libraries Government Documents Department
Dark Pools in Equity Trading: Policy Concerns and Recent Developments

Dark Pools in Equity Trading: Policy Concerns and Recent Developments

Date: September 26, 2014
Creator: Shorter, Gary & Miller, Rena S.
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.
Contributing Partner: UNT Libraries Government Documents Department
Auditing and Accounting Regulation: Key SEC Powers

Auditing and Accounting Regulation: Key SEC Powers

Date: July 8, 2002
Creator: Shorter, Gary
Description: Key auditing and accounting reform legislation, S. 2673 (Sarbanes), and H.R. 3763 (Oxley), and proposals for auditor oversight by the Securities and Exchange Commission (SEC) have been launched to help restore public confidence in a system of corporate financial accounting tainted by accounting fiascos at companies like Enron, Tyco, and Worldcom. This report provides background on significant current SEC regulatory powers in the area of accounting and auditing. It will be updated if there are changes in SEC authority.
Contributing Partner: UNT Libraries Government Documents Department
Securities Arbitration: Background and Question of Fairness

Securities Arbitration: Background and Question of Fairness

Date: April 26, 2005
Creator: Shorter, Gary
Description: None
Contributing Partner: UNT Libraries Government Documents Department
The Resolution Trust Corporation: Historical Analysis

The Resolution Trust Corporation: Historical Analysis

Date: September 26, 2008
Creator: Shorter, Gary
Description: In a 1989 legislative response to financial troubles in the thrift industry, the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 (FIRREA, P.L. 101-73) was enacted. FIRREA's principal mission was to conduct a partially tax-payer funded program to address the troubles of the nation's many insolvent thrifts. To do so, it established a new entity, the Resolution Trust Corporation (RTC), whose mission was to address troubled thrifts by arranging their sale to other institutions or shuttering them and disposing of their assets. This report analyzes the creation and functions of the RTC, including criticisms and results of its actions.
Contributing Partner: UNT Libraries Government Documents Department
Enron and Stock Analyst Objectivity

Enron and Stock Analyst Objectivity

Date: January 29, 2003
Creator: Shorter, Gary
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 and they can have significant influence on stock prices. This report examines the performance of the stock analysts in the Enron case.
Contributing Partner: UNT Libraries Government Documents Department
High Frequency Trading: Overview of Recent Developments

High Frequency Trading: Overview of Recent Developments

Date: April 4, 2016
Creator: Miller, Rena S. & Shorter, Gary
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.
Contributing Partner: UNT Libraries Government Documents Department
High Frequency Trading: Overview of Recent Developments

High Frequency Trading: Overview of Recent Developments

Date: April 1, 2016
Creator: Miller, Rena S. & Shorter, Gary
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.
Contributing Partner: UNT Libraries Government Documents Department
General Motors' Initial Public Offering: Review of Issues and Implications for TARP

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

Date: November 10, 2010
Creator: Canis, Bill; Webel, Baird & Shorter, Gary
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).
Contributing Partner: UNT Libraries Government Documents Department
Banking and Finance: Legislative Initiatives in the 105th Congress, Second Session

Banking and Finance: Legislative Initiatives in the 105th Congress, Second Session

Date: August 10, 1998
Creator: Shorter, Gary & Wells, F. J.
Description: This report reviews major banking and finance issues that are receiving congressional attention in the 2nd session of the 105th Congress. It will be updated periodically to reflect legislative developments. Relevant CRS products are referenced.
Contributing Partner: UNT Libraries Government Documents Department
Banking and Finance: Legislative Initiatives in the 105th Congress, Second Session

Banking and Finance: Legislative Initiatives in the 105th Congress, Second Session

Date: August 10, 1998
Creator: Shorter, Gary & Wells, F. J.
Description: This report reviews major banking and finance issues that are receiving congressional attention in the 2nd session of the 105th Congress.
Contributing Partner: UNT Libraries Government Documents Department
"Regulatory Relief" for Banking: Selected Legislation in the 114th Congress

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

Date: May 14, 2015
Creator: Hoskins, Sean M.; Labonte, Marc; Murphy, Edward V. & Shorter, Gary
Description: This report discusses regulatory relief legislation for banks in the 114th Congress that, at the time this report was published, has seen floor action or has been ordered to be reported by a committee.
Contributing Partner: UNT Libraries Government Documents Department
Financial Regulatory Reform and the 111th Congress

Financial Regulatory Reform and the 111th Congress

Date: June 1, 2010
Creator: Webel, Baird; Carpenter, David H.; Labonte, Marc; Miller, Rena S.; Murphy, Edward V. & Shorter, Gary
Description: This report reviews issues related to financial regulation. It provides brief descriptions of the two main comprehensive reform bills in the 111th Congress that address these issues.
Contributing Partner: UNT Libraries Government Documents Department
U.S. Motor Vehicle Industry: Federal Financial Assistance and Restructuring

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

Date: January 30, 2009
Creator: Cooney, Stephen; Bickley, James M.; Chaikind, Hinda; Pettit, Carol A.; Purcell, Patrick; Rapaport, Carol et al.
Description: This report looks at TARP and federal government assistance to General Motors, Chrysler, and Ford Motors. In particular, the history of these transactions and how they were affecte by Congress, Senate, President Bush, and President Obama.
Contributing Partner: UNT Libraries Government Documents Department
"Regulatory Relief" for Banking: Selected Legislation in the 114th Congress

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

Date: October 15, 2015
Creator: Hoskins, Sean M.; Gnanarajah, Raj; Labonte, Marc; Murphy, Edward V. & Shorter, Gary
Description: This report discusses regulatory relief legislation for banks in the 114th Congress that, at the time this report was published, 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), wide ranging financial reform enacted in response to the financial crisis.
Contributing Partner: UNT Libraries Government Documents Department
"Regulatory Relief" for Banking: Selected Legislation in the 114th Congress

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

Date: January 19, 2016
Creator: Hoskins, Sean M.; Gnanarajah, Raj; Labonte, Marc; Murphy, Edward V. & Shorter, Gary
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.
Contributing Partner: UNT Libraries Government Documents Department
FIRST PREV 1 2 NEXT LAST