Scott W. Bauguess

US Securities & Exchange Commission

Assistant Director for Corporate Finance

100 F Street, NE

Washington, DC 20549

United States

SCHOLARLY PAPERS

11

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CITATIONS
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48

Scholarly Papers (11)

1.

Do Merger-Related Operating Synergies Exist?

Number of pages: 48 Posted: 02 Jan 2005 Last Revised: 12 Nov 2013
Gennaro (帅纳) Bernile and Scott W. Bauguess
University of Miami - Department of Finance and US Securities & Exchange Commission
Downloads 1,076 (19,268)
Citation 4

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Mergers and Acquisitions, Synergies, Management Forecasts, Merger Performance

2.

Ownership Structure and Target Returns

Journal of Corporate Finance, Vol. 15, No. 1, 2009
Number of pages: 47 Posted: 12 Nov 2006 Last Revised: 19 Nov 2011
US Securities & Exchange Commission, University of Pittsburgh - Finance Group, University of Pittsburgh - Finance Group and University of Pittsburgh - Finance Group
Downloads 481 (57,793)
Citation 1

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target returns, ownerhsip, acquisition, firm value

Economic Effects of SOX Section 404 Compliance: A Corporate Insider Perspective

Journal of Accounting & Economics (JAE), Forthcoming, USC CLASS Research Paper No. 13-3
Number of pages: 56 Posted: 02 Sep 2013 Last Revised: 01 May 2014
Securities and Exchange Commission (SEC), US Securities & Exchange Commission, University of Miami - Department of Finance, Northwestern Pritzker School of Law and U.S. Securities and Exchange Commission
Downloads 360 (81,046)

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Corporate governance, Internal controls, Regulation, Sarbanes-Oxley, Section 404

Economic Effects of SOX Section 404 Compliance: A Corporate Insider Perspective

USC CLASS Research Paper No. 13-3
Number of pages: 54 Posted: 03 Sep 2013 Last Revised: 12 Nov 2013
Securities and Exchange Commission (SEC), US Securities & Exchange Commission, University of Miami - Department of Finance, Northwestern Pritzker School of Law and U.S. Securities and Exchange Commission
Downloads 64 (347,714)
Citation 4

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4.

Investor Demand for Information in Newly Issued Securities

Number of pages: 52 Posted: 15 Jan 2014 Last Revised: 14 Jul 2018
Scott W. Bauguess, John Cooney and Kathleen Weiss Hanley
US Securities & Exchange Commission, Texas Tech University - Rawls College of Business and Lehigh University - College of Business
Downloads 352 (83,850)
Citation 6

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IPOs, bookbuilding, EDGAR, disclosure, underpricing, search traffic, information acquisition

5.

Protective Governance Choices and the Value of Acquisition Activity

Journal of Corporate Finance, Vol. 14, No. 5, 2008
Number of pages: 43 Posted: 28 Nov 2007 Last Revised: 18 Nov 2011
Scott W. Bauguess and Mike Stegemoller
US Securities & Exchange Commission and Baylor University
Downloads 291 (103,542)
Citation 2

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Acquisitions, Governance, Family, Ownership, Shareholder Rights

6.

The Role of Big Data, Machine Learning, and AI in Assessing Risks: A Regulatory Perspective

SEC Keynote Address: OpRisk North America 2017
Number of pages: 6 Posted: 18 Aug 2018
Scott W. Bauguess
US Securities & Exchange Commission
Downloads 221 (137,280)
Citation 1

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AI, Machine Learning, FinTech, RegTech, SupTech, Market Regulation, Surveillance, SEC

7.

Large Shareholder Diversification, Corporate Risk Taking, and the Benefits of Changing to Differential Voting Rights

Journal of Banking and Finance, Forthcoming
Number of pages: 34 Posted: 19 Nov 2011
Scott W. Bauguess, Myron B. Slovin and Marie E. Sushka
US Securities & Exchange Commission, Louisiana State University, Baton Rouge - Department of Finance and Arizona State University
Downloads 190 (158,178)

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Differential voting rights, one-share-one-vote, tag-along rights

8.

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

Division of Risk, Strategy, and Financial Innovation White Paper
Number of pages: 9 Posted: 25 Aug 2012
Scott W. Bauguess and Vladimir I. Ivanov
US Securities & Exchange Commission and US Securities & Exchange Commission
Downloads 80 (303,331)

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Regulation D, private offerings, capital raising

9.

The Role of Machine Readability in an AI World

SEC Keynote Address: Financial Information Management (FIMA) Conference 2018
Number of pages: 6 Posted: 18 Aug 2018
Scott W. Bauguess
US Securities & Exchange Commission
Downloads 56 (366,744)

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Machine Learning, Artificial Intelligence, Structured Data, XBRL, FIXML, FpML, SEC, Regulation, NTTAA

10.

Market Fragility and Interconnectedness in the Asset Management Industry

SEC Keynote Address: Buy-Side Risk USA Conference 2017
Number of pages: 8 Posted: 18 Aug 2018
Scott W. Bauguess
US Securities & Exchange Commission
Downloads 25 (490,394)
Citation 1

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Financial Stability, Interconnectedness, Asset Management, SEC, FSB, Liquidity, Financial Regulation, Herding, Shadow Banking

11.

Risk Management, Corporate Governance, and the Search for Long-Term Investors

Journal of Applied Corporate Finance, Vol. 22, Issue 4, pp. 58-74, 2010
Number of pages: 19 Posted: 03 Jan 2011
Drexel University - Lebow College of Business, US Securities & Exchange Commission, affiliation not provided to SSRN, Hedge Fund Solutions, LLC, affiliation not provided to SSRN and affiliation not provided to SSRN
Downloads 3 (625,847)
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