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Corporate & Securities Law Blog Posts from May 19, 2013

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Corporate & Securities Law Posts (May 19, 2013)

UK FRC Proposes Guidance on Financial Instruments for Outside Auditors of Company Financial Statements

In light of the financial crisis and changes to international auditing and accounting standards, the UK Financial Reporting Council proposed revisions to its guidance for outside auditors of company financial statements on financial instruments. Generally, the auditor must obtain an understanding of how the firm manages and controls its exposure to fin
Posted on Jim Hamilton's World of Securities Regulation on May 19, 2013 at 11:17 PM

House Passes SEC Regulatory Accountability Act

By a vote of 235 to 161 the House of Representatives passed the SEC Regulatory Accountability Act, H.R. 1062. Seventeen Democrats voted to pass the bill. Rep. Scott Garrett (R-NJ), Chairman of the Financial Services Subcommittee on Capital Markets, introduced the SEC Regulatory Accountability Act, which would require the SEC to conduct robust cost-bene
Posted on Jim Hamilton's World of Securities Regulation on May 18, 2013 at 9:26 AM

ABA Antitrust in the Americas II

Posted by D. Daniel Sokol ABA Antitrust in the Americas II When June 06 - 07, 2013 Where Renaissance Sao Paulo Hotel Alameda Santos 2233 Sao Paulo, DF 01419-002 Brazil Primary Sponsors Section of Antitrust Law Co-sponsored by IBRAC Printable...
Posted on AntitrustProf Blog on May 18, 2013 at 8:39 AM

Shrug, Concur, and Move On

In a famous market manipulation that lead to multiple criminal convictions, the A.R. Baron brokerage engaged in a pump-and-dump scheme to induce customers to purchase the securities of small companies at artificially inflated prices. Among many others, investors sued an...
Posted on The 10b-5 Daily on May 17, 2013 at 9:58 PM

Bargaining power and local heroes

Posted by D. Daniel Sokol Ulrich Heimeshoff and Gordon J. Klein (both Heinrich-Heine-Universitat Dusseldorf) have a new paper on Bargaining power and local heroes. ABSTRACT: Bargaining Power of retailers is an important aspect of discourse in many industrialized countries, including...
Posted on AntitrustProf Blog on May 17, 2013 at 12:45 PM

B-Ds Address Sales of Alternative Investments

Alternative investments like non-traded REITs and private placements have levied financial havoc on many investors in recent years. Now, facing pressure from regulators, some broker/dealers are making changes to how they sell these kinds of products. Earlier this year, VSR Financial Services,�Berthel Fisher & Co. Financial Services and the Cetera F
Posted on Representing Investors on May 17, 2013 at 12:24 PM

Price competition and reputation in credence goods markets: Experimental evidence

Posted by D. Daniel Sokol Wanda Mimra (ETH Zurich, Switzerland), Alexander Rasch (Universitat zu Koln) and Christian Waibel (ETH Zurich, Switzerland) discuss Price competition and reputation in credence goods markets: Experimental evidence. ABSTRACT: In credence goods markets, experts have better...
Posted on AntitrustProf Blog on May 17, 2013 at 9:00 AM

Regulating a multiproduct and multitype monopolist

Posted by D. Daniel Sokol Dezso Szalay (University of Bonn) is Regulating a multiproduct and multitype monopolist. ABSTRACT: I study the optimal regulation of a firm producing two goods. The firm has private information about its cost of producing either...
Posted on AntitrustProf Blog on May 17, 2013 at 4:00 AM

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