Archive for the 'Individual Investors' Category

About the effect of individual investors on capital markets …

Demutualized Stock Exchanges Change Stockbrokers’ Role

Over the last twenty years, stock exchanges have morphed into a new type of institution: the ‘demutualized exchange’. The position and power of stockbrokers — once the ‘masters of the investment universe’ — has been significantly lessened. “Demutualization” is the process by which a stock exchange is transformed from the traditional configuration of a broker-owned, […]

Sarbanes-Oxley Is Probably Dead Meat: The Fix Is In!

On January 22,2020, New York Mayor Michael Bloomberg and Democratic Senator Charles Schumer released a report purchased by the New York City Economic Development Corp. from McKinsey & Co., for about $500,000, saying that Sarbanes-Oxley corporate governance, internal controls, and class action lawsuits by investors should be curbed — according to a Wall Street Journal […]

Is the SEC Obsolete? Problems with ‘Non-Merit’ Regulation

The regulatory principles of the United States Securities and Exchange Commission were established three-quarters of a century ago and have been copied by securities regulators throughout the world. The SEC sets forth its principles on its web site: The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and […]

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