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: Capital Raising in the U.S.: The Significance of Unregistered Offerings Using the Regulation D Exemption

Vlad Ivanov and Scott Bauguess

See Latest Version (7/1/13)

Category: White Papers
Date: Title: Capital Raising in the U.S.: An Analysis of Unregistered Offerings Using the Regulation D Exemption, 2009-2012

Vladimir Ivanov and Scott Bauguess

Category: White Papers
Date: Title: Qualified Residential Mortgage: Background Data Analysis on Credit Risk Retention

Joshua White and Scott Bauguess
See Corrected Version (2/25/15)

Category: White Papers
Date: Title: Alternative Trading Systems: Description of ATS Trading in National Market System Stocks

Laura Tuttle

Category: White Papers
Date: Title: OTC Trading: Description of Non-ATS OTC Trading in National Market System Stocks

Laura Tuttle

Category: White Papers
Date: Title: Interconnectedness in the CDS Market

Giulio Girardi, Craig Lewis and Mila Getmansky

Category: White Papers
Date: Title: White Paper on Computing Tools for Promoting Sound Investment Decisions (Original Version)

K. Jeremy Ko

See Latest Revision (12/17/14)

Category: White Papers
Date: Title: White Paper on Computing Tools for Promoting Sound Investment Decisions (Latest Revision)

K. Jeremy Ko

Category: White Papers
Date: Title: Qualified Residential Mortgage: Background Data Analysis on Credit Risk Retention

Joshua White and Scott Bauguess

Category: White Papers
Date: Title: Single-Name Corporate Credit Default Swaps: Background Data Analysis on Voluntary Clearing Activity

Burt Porter

Category: White Papers
Date: Title: Liquidity and Flows of U.S. Mutual Funds

Paul Hanouna, Jon Novak, Tim Riley, and Christof Stahel

Category: White Papers
Date: Title: Capital Raising in the U.S.: An Analysis of the Market for Unregistered Securities Offerings, 2009-2014

Scott Bauguess, Rachita Gullapalli, and Vladimir Ivanov

Category: White Papers
Date: Title: Use of Derivatives by Registered Investment Companies

Daniel Deli, Paul Hanouna, Christof W. Stahel, Yue Tang and William Yost

Category: White Papers
Date: Title: The Determinants of ETF Trading Pauses on August 24th, 2015

Austin Gerig and Keegan Murphy

Category: White Papers
Date: Title: Issuance Activity and Interconnectedness in the CMBS Market​

Diana Knyazeva, Charles Lin, and Jasmine Park

Category: White Papers
Date: Title: A Pilot Survey of Agent Securities Lending Activity

Viktoria Baklanova, Cecilia Caglio, Frank Keane, Burt Porter

Category: White Papers
Date: Title: Regulation A+: What Do We Know So Far?

Anzhela Knyazeva

Category: White Papers
Date: Title: Outcomes of Investing in OTC Stocks

Joshua T. White

Category: White Papers
Date: Title: ​Private Liquidity Funds: Characteristics and Risk Indicators

​Daniel Hiltgen

Category: White Papers
Date: Title: U.S. Securities-based Crowdfunding Under Title III of the JOBS Act ​

Vladimir Ivanov and Anzhela Knyazeva

Abstract

Review the report for offering activity in the Title III crowdfunding market initiated during May 16, 2016 - December 31, 2016.

Category: White Papers
Date: Title: “Limit Up-Limit Down” Pilot Plan and Associated Events

Claudia E. Moise and Paca Flaherty

Category: White Papers
Date: Title: Hedge Funds: Portfolio, Investor, and Financing Liquidity

George O. Aragon, Tolga Ergun, Mila Getmansky, and Giulio Girardi

Category: White Papers
Date: Title: The Effect of Amendment 10 of the “Limit Up-Limit Down” Pilot Plan

Paul Hughes

Category: White Papers
Date: Title: “Limit Up-Limit Down” Pilot Plan and Extraordinary Transitory Volatility

Paul Hughes, John Ritter, and Hao Zhang

Category: White Papers
Date: Title: Tick Size Pilot Plan and Market Quality

Edwin Hu, Paul Hughes, John Ritter, Patti Vegella, and Hao Zhang

Category: White Papers
Date: Title: The Financial Illiteracy and Overconfidence of Margin Traders

K. Jeremy Ko, Steven Rapkin

Category: White Papers
Date: Title: Pre-trade Information in the Municipal Bond Market

Louis Craig, Abby Kim, and Seung Won Woo

Category: White Papers
Date: Title: Capital Raising in the U.S.: An Analysis of the Market for Unregistered Securities Offerings

Scott Bauguess, Rachita Gullapalli, and Vladimir Ivanov

Abstract

This report includes an examination of a popular exemption for raising capital under Regulation D.

Category: White Papers

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