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Full-Text Articles in Social and Behavioral Sciences
Downstream Securities Regulation, Anita Krug
Downstream Securities Regulation, Anita Krug
All Faculty Scholarship
Securities regulation wears two hats. Its “upstream” side governs firms in connection with their obtaining financing in the securities markets. That is, it regulates firms’ and issuers’ offers and sales of securities, whether in public offerings to retail investors or in private offerings to institutional investors. Its “downstream” side, by contrast, governs financial services providers, who assist with investors’ activities in those markets. Their services include providing advice regarding securities investments, as investment advisers do; aggregating investors’ assets for purposes of enabling those investors to invest their assets collectively, as mutual funds do; and acting as “middlemen” between buyers and …
Do.Ne, Or What To Do When Your Favorite Service Disappears, Debbie Ginsberg
Do.Ne, Or What To Do When Your Favorite Service Disappears, Debbie Ginsberg
Librarian Scholarship
Debbie Ginsberg discusses the basic steps to take to protect data when cloud-based services shut down.