Control, responsibility, and abdication: a dilemma of securities regulation

Article Abstract:

The clauses of the Securities Acts which require information disclosure by shareholders of corporations engaging in securities transactions have facilitated the prosecution of fraud but have occasionally led to obstacles to shareholder participation in corporate governance. While federal courts have generally promoted fair markets consistent with legislative purpose, the SEC has frequently set forth rules with the effect of sacrificing investor authority to zealous fraud deterrence. Revision of the control clauses of the Acts is a good beginning to curb some of these excesses though alone they cannot solve problems such as those of the proxy system.

Fraud, Powers and duties, Corporate officers

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An analysis and recommendation for prestigious underwriter participation in IPOs

Article Abstract:

Securities underwriters provide a number of services for privately owned corporations using them to make an initial public stock offering. Prestigious underwriters offer better service generally than smaller, lesser-known firms, and they deal mostly with larger companies with less risk. This can have negative effects on smaller innovative firms which want to go public, such as increasing the cost of capital. Since smaller firms may offer hope for American business to regain competitiveness in the world market, incentives such as tax credits should be considered to encourage prestigious firms to service smaller companies.

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The influences of legal liability on corporate financial signaling

Article Abstract:

Business managers use financial signalling instead of direct statements because the managers face much less liability. Three types of signalling are common: stock splits, dividend upgrades and stock repurchases. Regulators did not intend for managers to choose signalling over direct statements, but any regulatory changes may have their own unforeseen, fundamental impacts on market practices.

United States, Management, Securities, Disclosure (Securities law)

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