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- Faculty Publications (12)
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- All HBS Web (75)
- Faculty Publications (12)
- 01 Dec 2004
- News
One-on-One with William H. Donaldson
chief regulator of America’s securities markets. To make matters worse, Donaldson hardly had time to settle into his new job before revelations surfaced of wrongdoing in the mutual-fund industry, triggering a new round of regulatory...
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- 08 Jul 2002
- What Do You Think?
Have We Carried the Concept of Alignment Too Far?
much of the remedy can be legislated? (2) What's the likelihood that vigorous new enforcement of new regulations will make it increasingly difficult to find qualified and independent directors? (3) If the latter occurs, will investors'...
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by James Heskett
- Fast Answer
Managing Global Operations
Refinitiv Workspace Current and historical SEC filings, company and industry analyst reports. For a multimedia learning module on Refinitiv Workspace check out our View Details
- 31 Aug 2009
- Research & Ideas
Why Competition May Not Improve Credit Rating Agencies
regulation has aimed to increase competition among raters ever since the Enron debacle. "As researchers we feared that increased competition may have detrimental effects in this setting." In our e-mail Q&A, Becker discusses...
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- 01 Jun 2002
- News
Books
While Enron made the headlines, Mills says, these other actors were culpable as well. The title of Mills' book derives from a comment made by former SEC chairman Arthur Levitt regarding the actions of teenager Jonathan Lebed who broke...
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Nancy O. Perry
- 16 Jan 2012
- Research & Ideas
Private Meetings of Public Companies Thwart Disclosure Rules
are actively breaking the rules of Regulation FD. Rather, he is suggesting that the SEC may need to spend more time determining what constitutes material information. For an astute observer, simply observing...
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- 05 Jul 2017
- Research & Ideas
Are Stockbrokers Illegally Leaking Confidential Information to Favored Clients?
information from an SEC form The researchers also collected information from the Security and Exchange Commission’s Schedule 13D forms for the same time period. And here’s where the potentially shady broker activity starts to become...
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- 01 Feb 1997
- News
Herzlinger on Health Care: Revolution in Evolution
from their income taxes. Third, the government should make sure that everyone buys health insurance, regulate health insurers to ensure honesty and financial stability, and monitor the quality of information, just as the View Details
- 26 Jun 2018
- First Look
New Research and Ideas, June 26, 2018
Political Influence of Voters' Interests on SEC Enforcement By: Heese, Jonas Abstract—I examine whether political influence as a response to voters’ interest in employment levels is reflected in the enforcement actions of the Securities...
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Dina Gerdeman
- 22 Sep 2014
- Op-Ed
Online Banks Fill Funding Needs for Small Business
the SEC partially regulates peer-to-peer lending, and state banking laws apply, but the online small business lending sector is largely unregulated at the federal level. Should borrower and lender...
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- 06 Dec 2021
- News
Truth Be Told
company’s response to the complaint, but the class discussion turned to the motivations of the man who revealed the wrongdoing. Have you ever thought about blowing the whistle? Dey asked her students. Their response: We’ve thought about it, but it is so costly. At a...
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- 01 Jun 2009
- News
Too Big To Fail
moral hazard in the financial system to an entirely new level,” he warns. But Moss has a fix: The federal government should slap tough new regulations on all firms that pose “systemic risk” — the risk that a failure of one institution...
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- 28 Apr 2015
- First Look
First Look: April 28
cognitive, normative, or regulative mainstays of an organizational field. Institutional innovation, like all innovation, is both novel and useful but differs in that it is also legitimate, credible, and appropriate. Legitimacy is hinged...
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Sean Silverthorne
- 01 Dec 2009
- News
An Action Plan for Economic Recovery
the service. But that’s not going to happen because the largest investors in bonds — banks, insurance companies, and mutual funds — aren’t willing to pay because they think they do a much better job than the rating agencies. What I propose is a neutral third-party...
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- 07 Dec 2015
- Research & Ideas
The Rise of Personalized Entrepreneurial Finance and Other VC Trends
of time the Securities and Exchange Commission (SEC) has spent trying to write the regulations around it. The SEC wants to encourage individuals to make investment decisions, but they don’t want to open the...
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- 01 Sep 2010
- News
Letters to the Editor
business administration cannot change the world. The recourse I see is to establish a level of supervision above the corporate world, either private sector or government. Of the two, only government is susceptible to opinion of mere citizens. The View Details
- 03 Oct 2013
- Research & Ideas
Lehman Brothers Plus Five: Have We Learned from Our Mistakes?
example, recent SEC proposals to reform the regulation of money market funds, which were a major problem during the financial crisis, don't go far enough. [For more details on what I think we should do in...
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- 21 Jun 2011
- First Look
First Look: June 21
Moreover, there is something resembling "intelligent design" in finance, whereby regulators and legislators act in a quasidivine capacity, putting dinosaurs on life support. The danger is that such interventions in the natural...
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Sean Silverthorne
- 24 Oct 2017
- First Look
First Look at New Research and Ideas, October 24, 2017
managers’ contest, but the SEC does not allow exclusion, 21% go on to win shareholder or firm support suggesting that managers often seek to exclude legitimate shareholder interests from their proxy statements. Our analysis illuminates...
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Sean Silverthorne
- 21 Dec 2009
- Research & Ideas
Good Banks, Bad Banks, and Government’s Role as Fixer
the largest investors in bonds—banks, insurance companies, and mutual funds—aren't willing to pay because they think they do a much better job than the rating agencies. What I propose is a neutral third-party approach to ratings. The SEC...
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