Securities Compliance

Securities Compliance is a regulatory subfield of Financial Compliance that specifically governs the adherence to laws, rules, and regulations imposed on financial instruments, entities, and markets involved in the issuance, trading, and disclosure of securities to ensure transparency, fairness, and investor protection.

246

Publications

13.3K

Citations

350

Authors

194

Institutions

Publications per year

2017–2026

Parents

Corporate ComplianceFinancial ComplianceRegulatory Compliance

Children

Corporate Disclosure ControlsProxy Solicitation RulesSelf-regulatory Organization RulesShareholder Communication RulesShort-swing Profit Rules

Publications

246

Public Regulation of the Securities Markets

George J. Stigler · The Journal of Business · 1964 · 710 citations

Law, Financial Law, Regulatory Policy +14

What Works in Securities Laws?

Rafael La Porta, Florencio López de Silanes, Andrei Shleifer · SSRN Electronic Journal · 2004 · 624 citations · Full text

Law, Financial Law, Corporate Disclosure +16

Public and private enforcement of securities laws: Resource-based evidence

Howell E. Jackson, Mark J. Roe · Journal of Financial Economics · 2009 · 596 citations

Law, Finance, Regulatory Policy +13

Required Disclosure and the Stock Market: An Evaluation of the Securities Exchange Act of 1934

George J. Benston · American Economic Review · 1973 · 346 citations

Law, Finance, Financial Law +16

The Sarbanes‐Oxley Act of 2002

Guy P. Lander · Journal of Investment Compliance · 2002 · 287 citations

Law, Accountancy, Corporate Governance +14

1–5 of 246

Authors

350

HE
Howell E. Jackson
Harvard University Press, United States
5 publications · 832 citations
5
h-index
PG
Paul G. Mahoney
University of Virginia, United States
4 publications · 214 citations
4
h-index
UB
Utpal Bhattacharya
Hong Kong University of Science and Technology, Hong Kong SAR China
4 publications · 260 citations
4
h-index
JD
James D. Cox
The University of Texas MD Anderson Cancer Center, United States
4 publications · 178 citations
4
h-index
DC
Donald C. Langevoort
Georgetown University, United States
4 publications · 85 citations
4
h-index

1–5 of 350

Institutions

194

1–8 of 194

Venues

SSRN Electronic Journal
Repository · 52 publications · 2.4K citations
24
h-index
eYLS (Yale Law School)
Repository · 7 publications · 112 citations
7
h-index
Journal of Accounting Research
JAR · 6 publications · 858 citations
6
h-index
Harvard Law Review
5 publications · 125 citations
5
h-index
Columbia Law Review
5 publications · 144 citations
5
h-index

1–5