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Securities Regulation

In: Regulation of Banks and Finance

Author

Listed:
  • Carlos M. Peláez
  • Carlos A. Peláez

Abstract

This chapter covers the regulation of securities. The first section focuses on the need for companies to exit segments of activity or even for entire companies to exit in response to technological change. LBOs have provoked significant interest in the law and economics. The approaches of the United States based on rulemaking by the SEC and self-regulatory organizations (SRO) and the light touch of the United Kingdom are contrasted briefly in a separate section. The two following sections consider the regulation of new issues and insider trading. The last remaining sections cover the decision of going public, SOX, and listing of securities. There is a final brief summary.

Suggested Citation

  • Carlos M. Peláez & Carlos A. Peláez, 2009. "Securities Regulation," Palgrave Macmillan Books, in: Regulation of Banks and Finance, chapter 5, pages 157-196, Palgrave Macmillan.
    • Handle: RePEc:pal:palchp:978-0-230-25125-0_6
    DOI: 10.1057/9780230251250_6
    as

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