Congressional Oversight Panel Special Report on Regulatory Reform PDF Download

Author: United States. Congressional Oversight Panel
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 120

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Author: Bing Li
Publisher:
ISBN:
Category :
Languages : en
Pages : 56

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Book Description
This study investigates how regulatory oversight affects the price formation of initial public offerings (IPOs). We provide evidence on the oversight role of the US Securities and Exchange Commission (SEC) by examining the effects of comment letters issued by the SEC in the process through which companies are initially listed. We find that IPO issuers reduce their offer price if they receive comment letters. The reduction in price from the IPO filing date to the final issue date is greater when the IPO firm has more correspondence with the SEC. The pricing impact of SEC comment letters is more pronounced for IPO issuers with greater hyping incentives. Moreover, we find that IPO firms that receive more comment letters have similar levels of underpricing and outperform over the long run after the issue date, compared with IPOs with fewer comment letters.

Author: Institute of Medicine
Publisher: National Academies Press
ISBN: 0309132746
Category : Medical
Languages : en
Pages : 344

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Among the issues confronting America is long-term care for frail, older persons and others with chronic conditions and functional limitations that limit their ability to care for themselves. Improving the Quality of Long-Term Care takes a comprehensive look at the quality of care and quality of life in long-term care, including nursing homes, home health agencies, residential care facilities, family members and a variety of others. This book describes the current state of long-term care, identifying problem areas and offering recommendations for federal and state policymakers. Who uses long-term care? How have the characteristics of this population changed over time? What paths do people follow in long term care? The committee provides the latest information on these and other key questions. This book explores strengths and limitations of available data and research literature especially for settings other than nursing homes, on methods to measure, oversee, and improve the quality of long-term care. The committee makes recommendations on setting and enforcing standards of care, strengthening the caregiving workforce, reimbursement issues, and expanding the knowledge base to guide organizational and individual caregivers in improving the quality of care.

Author: Daniel Zachary Epstein
Publisher: Springer Nature
ISBN: 303138461X
Category : Political Science
Languages : en
Pages : 172

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This book is a timely examination of congressional oversight in the United States, serving as a definitive guide for scholars and political, legal, and media observers seeking to navigate contemporary conflicts between Congress and the White House. Author Daniel Epstein has spent his professional career as a lawyer serving all sides of the regulatory process: he ran investigations for Congress, defended the White House from congressional oversight, and represented individuals, nonprofit news organizations, and entrepreneurs in federal court to fight for regulatory transparency and fairness. Epstein uses historical and observational data to argue that the modern federal bureaucracy did not begin as a regulatory state but as an investigative state. The contemporary picture of Congress having empowered the bureaucracy to set policy through rules is a relatively recent development in the political development of administrative law. The book’s novel econometric models and historical analyses force a shift in how legal scholars and judges understand delegation, congressional oversight, and agency investigations.

Author: United States. Congress. House. Committee on Oversight and Government Reform
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 120

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Author: United States. Congressional Oversight Panel
Publisher:
ISBN:
Category : Financial crises
Languages : en
Pages : 186

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Author: Orice M. Williams
Publisher:
ISBN: 9781437914474
Category :
Languages : en
Pages : 34

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Financial regulators have an important role in assessing risk manaagement (RM) systems at financial institutions. Inadequate RM at large, complex financial institutions was one of the causes of the current financial crisis. The failure of the institutions to appropriately identify, measure, and manage their risks has raised questions not only about corp. governance but also about the adequacy of regulatory oversight of RM systems. This report reviewed: (1) how regulators oversee RM at these institutions; (2) the extent to which regulators identified shortcomings in RM at certain institutions prior to the summer of 2007; and (3) how some aspects of the regulatory system may have contributed to or hindered the oversight of RM. This is a print on demand report.

Author: United States. Congress. House. Committee on Oversight and Government Reform. Subcommittee on Government Management, Organization, and Procurement
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 100

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Author: United States Congress
Publisher: Createspace Independent Publishing Platform
ISBN: 9781978267633
Category :
Languages : en
Pages : 118

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Book Description
The financial crisis and the role of federal regulators: hearing before the Committee on Oversight and Government Reform, House of Representatives, One Hundred Tenth Congress, second session, October 23, 2008.

Author: H. Kotz
Publisher:
ISBN:
Category : Industrial management
Languages : en
Pages : 256

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Book Description
Devise an organized, proactive approach to financial compliance Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for navigating the numerous regulations that have been enacted in response to the financial crisis. You'll learn how best to defend your organization from SEC, CFTC, FINRA, and NFA Enforcement actions, how to prepare for SEC, FINRA, and NFA regulatory examinations, how to manage the increasing volume of whistleblower complaints, how to efficiently and effectively investigate these complaints, and more. Detailed discussion of the regulatory process explains how aggressive you should be in confronting federal agencies and self-regulatory organizations and describes how commenting on issues that affect your business area can be productive or not. The companion website includes a glossary of terms, regulations and government guidance, relevant case law, research databases, and FAQs about various topics, giving you a complete solution for keeping abreast of evolving compliance issues. These days, compliance professionals are faced with a myriad of often overlapping regulatory challenges. Increased aggressiveness on the part of regulators has led to increased demand on financial firms, but this book provides clear insight into navigating the changes and building a more robust compliance function. Strengthen internal compliance and governance programs Manage whistleblower programs and conduct effective investigations Understand how to minimize exposure and liability from Enforcement actions Learn how to prepare for the different types of regulatory examinations Minimize exposure from FCPA violations Understand the pros and cons of commenting on regulations The volume and pace of regulatory change is causing new and diverse pressures on compliance professionals. Navigate the choppy waters successfully with the insider guidance in Financial Regulation and Compliance.