Stock exchanges, as regulating entities supervised by the Securities and Exchange Commission (SEC), have wielded their rulemaking power on various corporate governance issues, ranging from the independent board committee requirement adopted in 2003 to the board diversity requirement approved in 2021. Simultaneously, as for-profit corporate entities, major stock exchanges have been competing against each other to attract and retain more companies. This dual status of stock exchanges — as regulators and as profit driven entities — brings into question the stock exchanges\u27 incentive to enforce their own rules against listed companies. What happens if a listed company violates stock exchange rules? As the first study that offers an analysis ...
交易所在證券市場中的監管乃是對上市公司監督的第一道防線,其紀律處分措施更是警示市場參與者的重要資訊。本文以中國深圳交易所誠信檔案中對上市公司監管的處罰與處分公告進行分析,實證結果發現交易所的紀律處分事...
A dramatic shift in the economic and power structure of the securities industry is currently in prog...
According to statute, securities exchanges play an essential role in ensuring compliance with applic...
Stock exchanges, as regulating entities supervised by the Securities and Exchange Commission (SEC), ...
Although the securities industry is primarily regulated by specific rules, it is also governed by ge...
In 2020, the National Association of Securities Dealers Automated Quotations (“Nasdaq”) proposed a c...
We examine stock exchange trading rules for market manipulation, insider trading, and broker-agency ...
In today’s regulatory environment, a corporation engaged in wrongdoing can be sure of one thing: reg...
Due to resource constraints, securities regulators cannot find or punish all firms that have conduct...
AbstractDue to resource constraints, securities regulators cannot find or punish all firms that have...
How can we ensure corporations play by the “rules of the game” – that is, laws encouraging firms to ...
United States securities markets operate under a system of supervised self-regulation created by the...
The author begins this paper by presenting the various forms of stock exchanges, while describing th...
n the last few years, many of the world’s largest financial exchanges have converted from mutual, no...
The "comply or explain" principle adopted by the UK's Combined Code on Corporate Governance has now ...
交易所在證券市場中的監管乃是對上市公司監督的第一道防線,其紀律處分措施更是警示市場參與者的重要資訊。本文以中國深圳交易所誠信檔案中對上市公司監管的處罰與處分公告進行分析,實證結果發現交易所的紀律處分事...
A dramatic shift in the economic and power structure of the securities industry is currently in prog...
According to statute, securities exchanges play an essential role in ensuring compliance with applic...
Stock exchanges, as regulating entities supervised by the Securities and Exchange Commission (SEC), ...
Although the securities industry is primarily regulated by specific rules, it is also governed by ge...
In 2020, the National Association of Securities Dealers Automated Quotations (“Nasdaq”) proposed a c...
We examine stock exchange trading rules for market manipulation, insider trading, and broker-agency ...
In today’s regulatory environment, a corporation engaged in wrongdoing can be sure of one thing: reg...
Due to resource constraints, securities regulators cannot find or punish all firms that have conduct...
AbstractDue to resource constraints, securities regulators cannot find or punish all firms that have...
How can we ensure corporations play by the “rules of the game” – that is, laws encouraging firms to ...
United States securities markets operate under a system of supervised self-regulation created by the...
The author begins this paper by presenting the various forms of stock exchanges, while describing th...
n the last few years, many of the world’s largest financial exchanges have converted from mutual, no...
The "comply or explain" principle adopted by the UK's Combined Code on Corporate Governance has now ...
交易所在證券市場中的監管乃是對上市公司監督的第一道防線,其紀律處分措施更是警示市場參與者的重要資訊。本文以中國深圳交易所誠信檔案中對上市公司監管的處罰與處分公告進行分析,實證結果發現交易所的紀律處分事...
A dramatic shift in the economic and power structure of the securities industry is currently in prog...
According to statute, securities exchanges play an essential role in ensuring compliance with applic...