Skip to Main Content
HBS Home
  • About
  • Academic Programs
  • Alumni
  • Faculty & Research
  • Baker Library
  • Giving
  • Harvard Business Review
  • Initiatives
  • News
  • Recruit
  • Map / Directions
Faculty & Research
  • Faculty
  • Research
  • Featured Topics
  • Academic Units
  • …→
  • Harvard Business School→
  • Faculty & Research→
  • Research
    • Research
    • Publications
    • Global Research Centers
    • Case Development
    • Initiatives & Projects
    • Research Services
    • Seminars & Conferences
    →
  • Publications→

Publications

Publications

Filter Results : (63) Arrow Down
Filter Results : (63) Arrow Down Arrow Up

Show Results For

  • All HBS Web  (491)
    • Faculty Publications  (63)

    Show Results For

    • All HBS Web  (491)
      • Faculty Publications  (63)

      Securities And Exchange Commission Remove Securities And Exchange Commission →

      Page 1 of 63 Results →

      Are you looking for?

      → Search All HBS Web
      • April 2022 (Revised August 2022)
      • Case

      Conflicts of Interest at Uptown Bank

      By: Jonas Heese
      In 2013, two employees debated whether to blow the whistle on their employer, Bell Bank, after completing an internal review that revealed undisclosed conflicts of interest. Bell Bank’s Asset Management business disproportionately invested clients’ money in Bell Bank’s...  View Details
      Keywords: Whistleblower; Whistleblowing; Mutual Funds; Conflicts Of Interest; Decision Making; Decisions; Judgments; Ethics; Moral Sensibility; Values and Beliefs; Finance; Financial Institutions; Banks and Banking; Financial Management; Investment; Investment Funds; Governance; Corporate Accountability; Corporate Disclosure; Corporate Governance; Governance Compliance; Governance Controls; Policy; Law; Legal Liability; Social Psychology; Motivation and Incentives; Perception; Perspective; Trust; Financial Services Industry; North and Central America; United States
      Citation
      Educators
      Purchase
      Related
      Heese, Jonas. "Conflicts of Interest at Uptown Bank." Harvard Business School Case 122-022, April 2022. (Revised August 2022.)
      • January 2022
      • Supplement

      Uber in China (C): The Cost of Success for Didi

      By: William C. Kirby and Noah B. Truwit
      On June 30, 2021, ride-hailing giant Didi Chuxing (Didi) raised $4.4 billion in its initial public offering (IPO) on the New York Stock Exchange (NYSE), the largest IPO of a Chinese company listed on an American exchange since Alibaba raised $25 billion in 2014....  View Details
      Keywords: China; Uber; Didi Chuxing; Start-up Growth; Regulation; Ride-sharing; Transportation; Business Startups; Business and Government Relations; Cross-Cultural and Cross-Border Issues; Growth and Development; Policy; Competition; Laws and Statutes; Transportation Industry; Technology Industry; China
      Citation
      Purchase
      Related
      Kirby, William C., and Noah B. Truwit. "Uber in China (C): The Cost of Success for Didi." Harvard Business School Supplement 322-068, January 2022.
      • October 2021
      • Case

      Financial Reporting at Mattel

      By: Aiyesha Dey, Trung Nguyen, Marshal Herrmann and Julia Kelley
      In September 2020, Diana Ferguson was nearing her first Audit Committee meeting as the newly appointed Audit Committee chair of Mattel, Inc. Mattel was just recovering from an accounting scandal which had revealed the company’s poor internal controls and weak board...  View Details
      Keywords: Accounting; Accounting Audits; Financial Reporting; Financial Statements; Governance; Corporate Accountability; Corporate Disclosure; Corporate Governance; Governance Compliance; Governance Controls; Governing Rules, Regulations, and Reforms; Governing and Advisory Boards; Lawsuits and Litigation; Business and Shareholder Relations; Entertainment and Recreation Industry; Entertainment and Recreation Industry; Entertainment and Recreation Industry; North and Central America; United States; California
      Citation
      Educators
      Purchase
      Related
      Dey, Aiyesha, Trung Nguyen, Marshal Herrmann, and Julia Kelley. "Financial Reporting at Mattel." Harvard Business School Case 122-006, October 2021.
      • August 2021 (Revised November 2021)
      • Case

      The NCB Capital Turnaround: Waking the Sleeping Giant

      By: Sandra J. Sucher, Gamze Yucaoglu, Shalene Gupta and Fares Khrais
      The case opens in 2019, five years after, Sarah Al Suhaimi, CEO of NCB Capital (NCBC), the investment arm of Saudi’s largest bank, NCB, took the helm. Having successfully turned the business to make it the market leader, she was contemplating her next steps as...  View Details
      Keywords: Turnaround; Investment Banking; Financial Institutions; Change Management; Leadership; Business Model; Strategy; Business and Stakeholder Relations; Management Teams; Asset Management; Growth and Development Strategy; Saudi Arabia
      Citation
      Educators
      Purchase
      Related
      Sucher, Sandra J., Gamze Yucaoglu, Shalene Gupta, and Fares Khrais. "The NCB Capital Turnaround: Waking the Sleeping Giant." Harvard Business School Case 322-043, August 2021. (Revised November 2021.)
      • July 2021
      • Case

      'Why I Blew the Whistle': Mauro Botta v. PwC

      By: Aiyesha Dey, Jonas Heese and Sarah Mehta
      Set in April 2021, this case tells the story of Mauro Botta, a senior manager at PricewaterhouseCoopers (PwC). In 2016, Botta filed a whistleblower claim with the U.S. Securities and Exchange Commission, alleging that PwC had failed to fulfill its obligations to remain...  View Details
      Keywords: Accounting Audits; Financial Reporting; Financial Statements; Ethics; Fairness; Moral Sensibility; Values and Beliefs; Governance; Corporate Governance; Accounting Industry; United States; California; San Jose
      Citation
      Educators
      Purchase
      Related
      Dey, Aiyesha, Jonas Heese, and Sarah Mehta. "'Why I Blew the Whistle': Mauro Botta v. PwC." Harvard Business School Case 122-005, July 2021.
      • June 2021
      • Article

      Does the Freedom of Information Act Foil the Securities and Exchange Commission's Intent to Keep Investigations Confidential?

      By: Braiden Coleman, Kenneth Merkley, Brian Miller and Joseph Pacelli
      The Securities and Exchange Commission (SEC) has a long-standing policy to keep formal investigations confidential. In this study, we examine the extent to which compliance with the Freedom of Information Act (FOIA) provides investors with information about ongoing SEC...  View Details
      Keywords: Securities And Exchange Commission (SEC) Investigations; Freedom Of Information Act (FOIA); Exemption Denials
      Citation
      Find at Harvard
      Register to Read
      Related
      Coleman, Braiden, Kenneth Merkley, Brian Miller, and Joseph Pacelli. "Does the Freedom of Information Act Foil the Securities and Exchange Commission's Intent to Keep Investigations Confidential?" Management Science 67, no. 6 (June 2021).
      • Article

      Is ‘Not Guilty’ the Same as ‘Innocent’? Evidence from SEC Financial Fraud Investigations

      By: Eugene F. Soltes and David H. Solomon
      When the Securities and Exchange Commission (SEC) investigates firms for financial fraud, investors learn about the investigation only if managers disclose it, or regulators sanction the firm. We investigate the effects of such disclosures using confidential records on...  View Details
      Keywords: Financial Fraud; Corporate Disclosure; Performance; Outcome or Result
      Citation
      Find at Harvard
      Register to Read
      Related
      Soltes, Eugene F., and David H. Solomon. "Is ‘Not Guilty’ the Same as ‘Innocent’? Evidence from SEC Financial Fraud Investigations." Journal of Empirical Legal Studies 18, no. 2 (June 2021): 287–327.
      • May 2021 (Revised September 2021)
      • Case

      Accounting for Bitcoin at Tesla

      By: Charles C.Y. Wang and Siyu Zhang
      On February 8, 2021, Tesla revealed, through its 10-K filing to the Securities and Exchange Commission (SEC), that it had purchased $1.5 billion of Bitcoin, totaling 7.5% of the company’s cash, and that it planned to accept payments in the cryptocurrency soon. These...  View Details
      Keywords: Bitcoin; Accounting; Currency; Communication Intention and Meaning; Strategy; Investment Portfolio; Emerging Markets; Risk and Uncertainty; Value Creation
      Citation
      Educators
      Purchase
      Related
      Wang, Charles C.Y., and Siyu Zhang. "Accounting for Bitcoin at Tesla." Harvard Business School Case 121-074, May 2021. (Revised September 2021.)
      • February 2021 (Revised June 2021)
      • Case

      Brainlab: Imaging a MedTech Future

      By: Regina E. Herzlinger, Gregory P. Licholai and Federica Gabrieli
      Can Brainlab, a privately held firm, compete with giants like Medtronic and Amazon in delivering the Digital Operating Room of the future? The CEO is pondering solutions for secure exchange of medical information, pricing a new robotic imaging device, and reorganizing...  View Details
      Keywords: Surgery; Robotics; Health Care; Private Healthcare; Pricing; Technology Platform; Acquisition; Business Growth and Maturation; Growth and Development Strategy; Business Strategy; Corporate Strategy; Corporate Entrepreneurship; Health Care and Treatment; Health; Innovation and Invention; Innovation and Management; Innovation Strategy; Technological Innovation; Applications and Software; Information Infrastructure; Information Technology; Digital Platforms; Health Industry; Europe; Germany; Munich
      Citation
      Educators
      Purchase
      Related
      Herzlinger, Regina E., Gregory P. Licholai, and Federica Gabrieli. "Brainlab: Imaging a MedTech Future." Harvard Business School Case 321-087, February 2021. (Revised June 2021.)
      • 2021
      • Article

      The Sustainable Corporate Governance Initiative in Europe

      By: Mark Roe, Holger Spamann, Jesse M. Fried and Charles C.Y. Wang
      In July 2020, the European Commission published the “Study on directors’ duties and sustainable corporate governance” by EY. The Report purports to find evidence of debilitating short-termism in EU corporate governance and recommends many changes to support sustainable...  View Details
      Keywords: Short-termism; Hedge Funds; Shareholder Activism; Securities Regulation; Agency Costs; Political Economy; Payouts; Repurchases; Corporate Governance; Investment Funds; Investment Activism; Research and Development; Investment; European Union
      Citation
      SSRN
      Find at Harvard
      Related
      Roe, Mark, Holger Spamann, Jesse M. Fried, and Charles C.Y. Wang. "The Sustainable Corporate Governance Initiative in Europe." Yale Journal on Regulation Bulletin 38 (2021): 133–153.
      • July 2020
      • Background Note

      Gender Diversity on Boards: Views from Norway

      By: Aiyesha Dey
      The issue of gender diversity on boards has received increased attention in U.S markets over the past few years. In 2018, California introduced a law which required boards of U.S-listed firms with headquarters in California to include at least one female director by...  View Details
      Keywords: Board Of Directors; Board Decisions; Gender; Diversity; Governing and Advisory Boards; Norway; United States
      Citation
      Educators
      Purchase
      Related
      Dey, Aiyesha. "Gender Diversity on Boards: Views from Norway." Harvard Business School Background Note 120-065, July 2020.
      • February 2020 (Revised June 2020)
      • Case

      Shaping the Governance Debate at ISS

      By: Suraj Srinivasan, Jonah S. Goldberg and Calvin O. Liou
      ISS is the world’s largest provider of corporate governance research, data, analytics, and voting services. The case uses the effort of the Securities and Exchange Commission (SEC) to impose an array of new regulations that would severely restrict the functioning of...  View Details
      Keywords: Proxy Advisory Services; Corporate Governance; Research; Investment; Governing Rules, Regulations, and Reforms; Business and Shareholder Relations; Institutional Investing
      Citation
      Educators
      Purchase
      Related
      Srinivasan, Suraj, Jonah S. Goldberg, and Calvin O. Liou. "Shaping the Governance Debate at ISS." Harvard Business School Case 120-085, February 2020. (Revised June 2020.)
      • December 2019
      • Case

      CME Group in 2019

      By: José B. Alvarez, Forest Reinhardt and Natalie Kindred
      Chicago-based CME Group is the world’s largest futures and options marketplace, with annual trading volume of over 4.8 billion contracts in 2018. This case is set in late 2019, as heightened perceptions of risk stemming from the U.S.-China trade war are driving record...  View Details
      Keywords: Financial Markets; Risk Management; Futures and Commodity Futures; Trade; Price; Competition; Risk and Uncertainty; Competitive Strategy; United States; China; Brazil
      Citation
      Educators
      Purchase
      Related
      Alvarez, José B., Forest Reinhardt, and Natalie Kindred. "CME Group in 2019." Harvard Business School Case 520-048, December 2019.
      • December 2019
      • Case

      WeWork Files for an IPO

      By: Lynn S. Paine and Will Hurwitz
      For the board of The We Company—better known as WeWork—August 14, 2019, promised to be a pivotal day. It was then that WeWork’s IPO prospectus, known as an S-1 filing, would be made public, giving potential investors, the media, and the general public a window into the...  View Details
      Keywords: Capital Structure; Corporate Accountability; Corporate Governance; Going Public; Leadership; Management; Private Equity; Valuation; Venture Capital; Real Estate Industry; Technology Industry; United States
      Citation
      Educators
      Purchase
      Related
      Paine, Lynn S., and Will Hurwitz. "WeWork Files for an IPO." Harvard Business School Case 320-063, December 2019.
      • October 2019
      • Teaching Note

      Securities Exchange Board of India: Developing and Regulating India's Capital Markets

      By: Suraj Srinivasan and Jonah S. Goldberg
      Citation
      Related
      Srinivasan, Suraj, and Jonah S. Goldberg. "Securities Exchange Board of India: Developing and Regulating India's Capital Markets." Harvard Business School Teaching Note 120-058, October 2019.
      • September 2019
      • Article

      The Effect of Enforcement Transparency: Evidence from SEC Comment-Letter Reviews

      By: Miguel Duro, Jonas Heese and Gaizka Ormazabal
      This paper studies the effect of the public disclosure of the Securities and Exchange Commission (SEC) comment-letter reviews (CLs) on firms’ financial reporting. We exploit a major change in the SEC’s disclosure policy: in 2004, the SEC decided to make its CLs...  View Details
      Keywords: Disclosure; SEC Comment-Letter Reviews; Public Enforcement; Governance; Information Publishing; Policy; Financial Reporting; Capital Markets; Organizational Change and Adaptation
      Citation
      SSRN
      Find at Harvard
      Related
      Duro, Miguel, Jonas Heese, and Gaizka Ormazabal. "The Effect of Enforcement Transparency: Evidence from SEC Comment-Letter Reviews." Review of Accounting Studies 24, no. 3 (September 2019): 780–823.
      • Summer 2019
      • Article

      The Political Influence of Voters' Interests on SEC Enforcement

      By: Jonas Heese
      I examine whether political influence as a response to voters’ interest in employment levels is reflected in the enforcement actions of the Securities and Exchange Commission (SEC). I find that large employers are less likely to experience SEC enforcement actions....  View Details
      Keywords: SEC Enforcement; Government Preferences; Voters' Interests; Political Influence; Employment; Public Opinion; Government Administration; Governance Compliance; Political Elections
      Citation
      SSRN
      Find at Harvard
      Related
      Heese, Jonas. "The Political Influence of Voters' Interests on SEC Enforcement." Contemporary Accounting Research 36, no. 2 (Summer 2019): 869–903.
      • May 2019
      • Teaching Note

      Tesla, Inc. in 2018

      By: Siko Sikochi and Suraj Srinivasan
      Teaching Note for HBS No. 119-013. The case facilitates a discussion about corporate governance and its role in achieving sustainable profitability and driving long-term shareholder value. The discussion can focus on such questions as what constitutes good governance,...  View Details
      Keywords: Public Company; Corporate Governance; Governing and Advisory Boards; Cost vs Benefits
      Citation
      Purchase
      Related
      Sikochi, Siko, and Suraj Srinivasan. "Tesla, Inc. in 2018." Harvard Business School Teaching Note 119-101, May 2019.
      • February 2019 (Revised March 2022)
      • Teaching Note

      Rio Tinto vs. the Securities and Exchange Commission

      By: Aiyesha Dey and Krishna G. Palepu
      Teaching Note for HBS No. 119-046.  View Details
      Citation
      Purchase
      Related
      Dey, Aiyesha, and Krishna G. Palepu. "Rio Tinto vs. the Securities and Exchange Commission." Harvard Business School Teaching Note 119-078, February 2019. (Revised March 2022.)
      • February 2019 (Revised September 2019)
      • Case

      Theranos: The Unicorn That Wasn't

      By: Joseph B. Fuller and John Masko
      In 2003, 19-year-old Elizabeth Holmes founded a startup dedicated to making blood testing easier and more affordable. By 2015, her company, Theranos, was worth $9 billion. It boasted a star-studded board and contracts with national pharmacy and supermarket chains...  View Details
      Keywords: Theranos; Blood; Lab Testing; Fraud; Holmes; Balwani; Shultz; Carreyrou; Securities And Exchange Commission; Food And Drug Administration; FDA; SEC; Health Testing and Trials; Corporate Accountability; Organizational Culture; Misleading and Fraudulent Advertising; Crime and Corruption; Entrepreneurship; Medical Devices and Supplies Industry
      Citation
      Educators
      Purchase
      Related
      Fuller, Joseph B., and John Masko. "Theranos: The Unicorn That Wasn't." Harvard Business School Case 319-068, February 2019. (Revised September 2019.)
      • 1
      • 2
      • 3
      • 4
      • →

      Are you looking for?

      → Search All HBS Web
      ǁ
      Campus Map
      Harvard Business School
      Soldiers Field
      Boston, MA 02163
      →Map & Directions
      →More Contact Information
      • Make a Gift
      • Site Map
      • Jobs
      • Harvard University
      • Trademarks
      • Policies
      • Accessibility
      • Digital Accessibility
      Copyright © President & Fellows of Harvard College