Working papers in the series were prepared in full or in part by SEC staff economists in the Division of Economic and Risk Analysis. They investigate a broad range of issues relevant to the Commission's mission and are disseminated to stimulate discussion and critical comment to the benefit of the public. DERA Working Papers are preliminary materials that have not been approved by the Commission and reflect only the views of the author(s).

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.

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Date
Title
Category
Date: Title: Economic Analysis of the Short Sale Price Restrictions under the Regulation SHO Pilot Category: Economic Analyses
Date: Title: Fails to Deliver Statistics in Threshold Securities(PDF) Category: Economic Analyses
Date: Title: Impact of Recent Regulation SHO Amendment on Fails to Deliver (Elimination of the Grandfather Exception in Rule 203 of Regulation SHO)(PDF) Category: Economic Analyses
Date: Title: Impact of Recent Regulation SHO Rule Changes on Fails to Deliver (Elimination of the Options Market Maker (OMM) Exception in Rule 203 of Regulation SHO and Implementation of Interim Final Temporary Rule 204T)(PDF) Category: Economic Analyses
Date: Title: Analysis of Short Selling Activity during the First Weeks of September 2008(PDF) Category: Economic Analyses
Date: Title: Analysis of a Short Sale Price Test Using Intraday Quote and Trade Data(PDF) Category: Economic Analyses
Date: Title: Analysis of the July 2008 Emergency Order Requiring a Pre-borrow on Short Sales(PDF) Category: Economic Analyses
Date: Title: Study of the Sarbanes-Oxley Act of 2002 Section 404 Internal Control over Financial Reporting Requirements Category: Economic Analyses
Date: Title: Impact of Recent Regulation SHO Rule Changes on Fails to Deliver (Elimination of the Options Market Maker (OMM) Exception in Rule 203 of Regulation SHO, and Implementation of Interim Final Temporary Rule 204T and Permanent Rule 204)(PDF) Category: Economic Analyses
Date: Title: Share Ownership and Holding Period Patterns in 13F data(PDF) Category: Economic Analyses
Date: Title: Security-Based Swap Block Trade Definition Analysis(PDF) Category: Economic Analyses
Date: Title: Impact of Recent Regulation SHO Rule Changes on Fails to Deliver (Updates with Additional Data the Analysis Dated November 4, 2009)(PDF) Category: Economic Analyses
Date: Title: Information Regarding Activities and Positions of Participants in the Single-Name Credit Default Swap Market(PDF) Category: Economic Analyses
Date: Title: FINRA Proposal to Reduce Minimum Quotation Size in OTC Market Tiers(PDF) Category: Economic Analyses
Date: Title: Economic Effects of Proposed Rule Changes by NYSE Arca, Inc. to List and Trade Shares of the JPM XF Physical Copper Trust (SR-NYSEArca-2012-28) and the iShares Copper Trust (SR-NYSEArca-2012-66)(PDF) Category: Economic Analyses
Date: Title: Money Market Fund Study: Response to Questions Posed by Commissioners Aguilar, Paredes, and Gallagher (Experience through the Financial Crisis, Efficacy of 2010 Reforms, and Potential Economic Effects of Future Reforms) Category: Economic Analyses
Date: Title: Government Money Market Fund Exposure to Non-Government Securities(PDF) Category: Economic Analyses
Date: Title: Liquidity Cost During Crisis Periods(PDF) Category: Economic Analyses
Date: Title: Municipal Money Market Funds Exposure to Parents of Guarantors(PDF) Category: Economic Analyses
Date: Title: Demand and Supply of Safe Assets in the Economy(PDF) Category: Economic Analyses
Date: Title: Analysis of post-trade transparency under the CFTC regime(PDF) Category: Economic Analyses
Date: Title: Inventory risk management by dealers in the single-name credit default swap market(PDF) Category: Economic Analyses
Date: Title: Risk Adjustment and Haircut Schedules Category: Economic Analyses
Date: Title: FINRA’s Pilot Program Amending Minimum Quotation Size Requirements for OTC Equity Securities(PDF) Category: Economic Analyses
Date: Title: Access to Capital and Market Liquidity(PDF)

Abstract

This report to Congress includes an examination of initial public offerings and crowdfunding by small companies.

Category: Economic Analyses
Date: Title: Bats Market Close: Off-Exchange Closing Volume and Price Discovery(PDF) Category: Economic Analyses

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