Banking and Finance Legislation

Contents:

Research conducted by: RAND Law, Business, and Regulation; Center for Corporate Ethics and Governance

All Items (6)

COMMENTARY

Questions After the First U.S. Bank Takeover by a Chinese State-Controlled Company — May 15, 2012

In considering foreign application to acquire U.S. companies, the United States needs to consider both risks as well as benefits in both defense and economic dimensions, write Charles Wolf, Jr., Brian Chow, Gregory Jones, and Scott Harold.

JOURNAL ARTICLE

The Unintended Effects of the Sarbanes-Oxley Act of 2002 — Dec 31, 2009

Evaluates managerial perception of the Sarbanes-Oxley Act of 2002, a stringent rules-based system widely considered the most comprehensive economic regulation since the New Deal.

REPORT

What the Policy Community Should Know About Corporate Compliance, Ethics, and Misdeeds — Apr 27, 2009

Improving corporate compliance, ethics, and oversight has been a significant policy goal for the U.S. government for decades, and made more salient by the collapse of financial markets in late 2008. On March 5, 2009, RAND convened a conference in Washington, D.C., on the role and perspectives of corporate chief ethics and compliance officers in the detection and prevention of corporate misdeeds.

REPORT

The Role of Public and Private Litigation in the Enforcement of Securities Laws in the United States — Oct 1, 2008

This dissertation analyzes the combination of federal and investors' class actions to enforce federal securities laws, as well as how the Sarbanes-Oxley Act disrupts joint public and private litigation to discipline self regulatory organizations like the national stock exchanges, and the effects of these attempted reforms on the market.

RESEARCH BRIEF

Do Benefits of Sarbanes-Oxley Justify the Costs? Empirical Evidence in the Case of Small Firms — Nov 28, 2007

This research brief summarizes the impact of the Sarbanes-Oxley Act (SOX) on small firms based on a review of studies of relative compliance costs, stock-price reactions, and exit patterns from the public market.

NEWS RELEASE

RAND Study Shows Sarbanes-Oxley Act Had Short-Lived Effect on Small Businesses — May 8, 2006

May 8, 2006 News Release: RAND Study Shows Sarbanes-Oxley Act Had Short-Lived Effect on Small Businesses.

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