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- Investor Protection and the Demand for Equity
- This paper develops a simple equilibrium model showing that investor protection has an impact on stock market development also through the demand for equity. A joint rationale is provided for the lower returns of weak corporate governance stocks and investors' portfolio decisions. In this model, investor protection affects how a...
- White papers 2004-12-01
- Corporate Governance and Managerial Risk Taking: Theory and Evidence
- In this paper how the investor protection environment affects corporate managers' incentives to take value-enhancing risks. In this model, the manager chooses higher perk consumption when investor protection is low. Since perks represent a priority claim held by the manager, lower investor protection leads the manager to implement a sub-optimally...
- White papers 2004-12-15
Additional Resources
- House Financial Services Committee Passes Investor Protection Legislation
- « Merge Healthcare and Two Former Officers Settle SEC Accounting Fraud Charges | Main The House Financial Services Committee voted (41-28) on Nov. 4 to recommend the Investor Protection Act of 2009(Download H.R.3817) that has a variety of measures intended to improve investor protection and increase investor confidence. The bill...
- News items 2009-11-05
- Securities Investor Protection: Update on Matters Related to the Securities Investor Protection Corporation.
- GAO-03-811 July 11, 2003 As result of ongoing concerns about the adequacy of disclosures provided to investors about the Securities Investor Protection Corporation SIPC and investors' responsibilities to protect their investments, GAO issued a report in 2001 entitled Securities Investor Protection: Steps Needed to Better Disclose SIPC Policies...
- Research articles 2003-09-01
- Cleaning up the wreckage. (Sipc Steps In).(Securities Investor Protection Corporation took over Park South Securities, owned by CNN regular Todd Eberhard)(Brief Article)
- IT'S BEEN a busy season for the Securities Investor Protection Corporation, which steps in to take over securities firms that fail to live up to their financial obligations. IT'S BEEN a busy season for the Securities Investor Protection Corporation, which steps in to...
- Research articles 2003-04-01
- Securities Investor Protection Corporation, Korea Deposit Insurance Corporation to Cooperate in Cross-Border Brokerage Insolvency, Liquidation Cases
- To: NATIONAL EDITORSContact: Ailis Aaron Wolf , +1-703-276-3265, aaaron@hastingsgroup.com, for SIPC WASHINGTON,Oct.29/PRNewswire-USNewswire/ --The Securities Investor Protection Corporation SIPC and the Korea Deposit Insurance Corporation KDIC have entered into a memorandum of understanding MOU covering cross-border cases involving brokerage firm insolvencies and liquidations in which the customers are protected by SIPC...
- Research articles 2007-10-29
- Investor Protection and Equity Markets
- This report presents a simple model of an entrepreneur going public in an environment with poor legal protection of outside shareholders. The model incorporates elements of Becker's (1968) crime and punishment' framework into a corporate finance environment of Jensen and Meckling (1976). It examines the entrepreneur's decision and the market...
- White papers 2000-10-01
- Liquidation Proceedings for New Orleans Area Brokerage Firm Undertaken by Securities Investor Protection Corporation
- To: NATIONAL EDITORS Contact: Ailis Aaron Wolf for SIPC, +1-703-276-3265, aaaron@hastingsgroup.com SIPC Appointed By Court to Act as Trustee; Investor Losses Could Reach $2 Million. WASHINGTON, March 5 /PRNewswire-USNewswire/--The Securities Investor Protection Corporation SIPC, which maintains a special reserve fund authorized by Congress to help investors at failed brokerage...
- Research articles 2008-03-05
- The Sarbanes-Oxley Act of 2002 – Public Company Accounting Reform and Investor Protection Act
- President Bush signed into law the much anticipated accounting reform and investor Protection act approved by both the House and the Senate. The Act imposes a number of new corporate responsibility and disclosure obligations, prohibits public auditors from also performing other services for audit clients, establishes a new accounting oversight...
- White papers 2002-07-30
- Asset Management and Investor Protection: A Summary of Results
- This study provides a detailed analysis of the structure and regulation of asset management businesses in seven European countries and the USA. It evaluates the operational risks that asset management firms incur in running their businesses, and estimates the size of losses sustained by the industry from these operational risks...
- White papers 2001-04-24
- Corporate Governance, Investor Protection, and Performance in Emerging Markets
- Recent research studying the link between law and finance has concentrated on country-level investor protection measures and focused on differences in legal systems across countries and legal families. The paper uses recent data on firm-level corporate governance rankings across 14 emerging markets and find that there is wide variation in...
- White papers 2002-04-01
- Investor Protection and Business Creation
- This paper studies the effects of investor protection on the availability of external finance, entrepreneurship, and creation of new firms in an equilibrium search model of private capital markets. In addition to search frictions, it examines contract frictions, specifically interim and ex post moral hazard problems stemming from entrepreneurs' possibilities...
- White papers 2003-12-08
- Investor Protection Laws, Accounting and Auditing Around the World
- Recent research documents that common law countries have stronger investor protection laws and more developed financial markets than civil law countries. This line of inquiry is extended in this study to examine if variations in legal systems also affect accounting and auditing. For a sample of 31 countries, this article...
- White papers 2001-10-01
- Investor protection mostly for lawyers.
- So you thought winning a lawsuit against a crooked broker was tough? Now try collecting the money. With $1.2 billion in reserves, you'd think the Securities Investor Protection Corp., established by Congress 30 years ago, would pay out a lot more to wronged investors than the...
- Research articles 1999-08-16
- Securities Investor Protection Corporation (SIPC) Gets Three New Board Members Approved by U.S. Senate
- To: BUSINESS EDITORSContact: Ailis Aaron Wolf of The Hastings Group, +1-703-276-3265, aaaron@hastingsgroup.com, for SIPC WASHINGTON, Aug. 7 /PRNewswire-USNewswire/ -- Three individuals -- William H. Heyman, William S. Jasien and Mark S. Shelton -- have been nominated by the President and confirmed by the U.S. Senate to serve as the newest...
- Research articles 2007-08-07
- /C O R R E C T I O N -- Securities Investor Protection Corporation and North American Securities Administrators Association, both in Washington, D.C./
- To: NATIONAL EDITORS Contact: Bob Webster, Director of Communications, NASAA, +1-202- 737-0900; or Ailis Aaron Wolf, for SIPC, +1-703-276-3265 In the news release, NASAA, SIPC Offer Answers to Investors Concerned About the Safety of Their Brokerage Accounts, issued 25- Mar-2008 by Securities Investor Protection Corporation and North American Securities...
- Research articles 2008-03-25
- Getting Ready For Europe's New Investor Protection Rules
- The new Markets in Financial Instruments Directive MiFID will change the way some European financial firms do business. First movers will have the advantage. In the short run, however, bankers and asset managers will be forced to work harder, perhaps for smaller profits. MiFID's investor protection rules will increase the...
- White papers 2007-07-01
- Investor organisation fears EC may remove protection.
- The European Commission's draft directives on prospectuses and reporting would remove vital measures of investor protection in member states, according to an influential organisation of international investors.The International Corporate Governance N The European Commission's draft directives on prospectuses and reporting would remove vital measures of...
- Research articles 2002-07-14
- Private Company Marketplace , a Member of FINRA and SIPC, Announced Today the Opening of Its Internet Based, Centralized Global Financial Information Network Serving Private Companies and the Accredited Investor Community
- NEW YORK -- Private Company Marketplace PCM, a member of the Financial Industry Regulatory Authority FINRA and a member of the Securities Investor Protection Corporation SIPC announces the opening of its internet based, centralized global financial information network designed to serve growing private companies and the Accredited Investor community. PCM...
- Research articles 2008-03-27
- Advisors monitor SEC investor protection changes
- The new regime at the Securities and Exchange Commission took on the mission of restoring investor confidence in Wall Street--and auditors and financial managers in public companies felt the impact directly. The new regime at the Securities and Exchange Commission took on the mission...
- Research articles 2003-09-22
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