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
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
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