Staff Papers and Economic Analyses
White papers and economic analyses are prepared by SEC staff in the course of rulemaking and other Commission initiatives. Some of these materials are available elsewhere on the Commission website.
Date: Aug. 2016
Title: Issuance Activity and Interconnectedness in the CMBS Market
Category: White Papers
Date: May 2016
Title: Security Recommendations and the Liability of Broker-Dealers
Category: Working Papers
Date: Feb. 2016
Title: The Determinants of ETF Trading Pauses on August 24th, 2015
Category: White Papers
Date: Oct. 2015
Category: White Papers
Date: July 2015
Title: Public versus Private Provision of Governance: The Case of Proxy Access
Category: Working Papers
Date: April 2015
Title: Single-Name Corporate Credit Default Swaps: Background Data Analysis on Voluntary Clearing Activity
Category: White Papers
Date: Feb. 2015
Title: Qualified Residential Mortgage: Background Data Analysis on Credit Risk Retention
Category: White Papers
Date: Jan. 2015
Title: Too Fast or Too Slow? Determining the Optimal Speed of Financial Markets
Category: Working Papers
Date: Jan. 2015
Title: High-Frequency Trading Synchronizes Prices in Financial Markets
Category: Working Papers
Date: Dec. 2014
Title: White Paper on Computing Tools for Promoting Sound Investment Decisions (Latest Revision)
Category: White Papers
Date: Dec. 2014
Title: Liquidity Risk, Speculative Trade, and the Optimal Latency of Financial Markets
Category: Working Papers
Date: Dec. 2014
Title: Making the Most of Good Times: Shareholder Rights and Performance Revisited
Category: Working Papers
Date: Dec. 2014
Title: Differences of Opinion and Stock Prices: Evidence from Spin-Offs and Mergers
Category: Working Papers
Date: Dec. 2014
Title: Do Takeover Laws Matter? Evidence from Five Decades of Hostile Takeovers
Category: Working Papers
Date: Oct. 2014
Title: Inventory risk management by dealers in the single-name credit default swap market (PDF)
Category: Economic Analyses
Date: Oct. 2014
Title: Analysis of post-trade transparency under the CFTC regime (PDF)
Category: Economic Analyses
Date: May 2014
Title: White Paper on Computing Tools for Promoting Sound Investment Decisions (Original Version)
Category: White Papers
Date: April 2014
Title: Differences in the Information Environment Prior to SEOs under Relaxed Disclosure Regulation
Category: Working Papers
Date: March 2014
Title: OTC Trading: Description of Non-ATS OTC Trading in National Market System Stocks
Category: White Papers
Date: March 2014
Title: Demand and Supply of Safe Assets in the Economy (PDF)
Category: Economic Analyses
Date: March 2014
Title: Municipal Money Market Funds Exposure to Parents of Guarantors (PDF)
Category: Economic Analyses
Date: March 2014
Title: Government Money Market Fund Exposure to Non-Government Securities (PDF)
Category: Economic Analyses
Date: Jan. 2014
Title: The Economic Implications of Money Market Fund Capital Buffers
Category: Working Papers
Date: Oct. 2013
Title: Alternative Trading Systems: Description of ATS Trading in National Market System Stocks
Category: White Papers
Date: Aug. 2013
Title: Qualified Residential Mortgage: Background Data Analysis on Credit Risk Retention
Category: White Papers
Date: July 2013
Category: White Papers
Date: July 2013
Title: Analyst Competition and Monitoring:Earnings Management in Neglected Firms
Category: Working Papers
Date: Nov. 2012
Category: Economic Analyses
Date: Nov. 2012
Category: Economic Analyses
Date: June 2012
Title: FINRA Proposal to Reduce Minimum Quotation Size in OTC Market Tiers (PDF)
Category: Economic Analyses
Date: March 2012
Category: Economic Analyses
Date: Feb. 2012
Category: White Papers
Date: April 2011
Category: Economic Analyses
Date: Jan. 2011
Title: Security-Based Swap Block Trade Definition Analysis (PDF)
Category: Economic Analyses
Date: Nov. 2009
Title: Share Ownership and Holding Period Patterns in 13F data (PDF)
Category: Economic Analyses
Date: Nov. 2009
Category: Economic Analyses
Date: Oct. 2009
Category: Economic Analyses
Date: Jan. 2009
Title: Analysis of the July 2008 Emergency Order Requiring a Pre-borrow on Short Sales (PDF)
Category: Economic Analyses
Date: Dec. 2008
Title: Analysis of a Short Sale Price Test Using Intraday Quote and Trade Data (PDF)
Category: Economic Analyses
Date: Dec. 2008
Title: Analysis of Short Selling Activity during the First Weeks of September 2008 (PDF)
Category: Economic Analyses
Date: Nov. 2008
Category: Economic Analyses
Date: June 2008
Category: Economic Analyses
Date: March 2008
Title: Fails to Deliver Statistics in Threshold Securities (PDF)
Category: Economic Analyses
Date: Feb. 2007
Title: Economic Analysis of the Short Sale Price Restrictions under the Regulation SHO Pilot
Category: Economic Analyses