5Soft Dollars and the Brokerage Industry,Marshall E.Blume,the Wharton School University of Pennsylvania Philadelphia,PA 19104,August,1992.
6Conflicts of Interest in Sell-side Re- search and The Moderating Role of Institu- tional Investors. Alexander Ljungqvist,Felicia Marston,Laura T.Starks, Kelsey D.Wei and Hong Yan,2005.
7Buy-side and Sell-side:the Industrial Organization of Information Production in the Securities Industry,Zhaohui Chen, March,2004.
8Circular to analysts on handling non- public price sensitive information, 香港证监会( Secrurities and Futures Commission ).
二级参考文献13
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5Jensen & Meckling, "Theory of the Film: Managerial Behavior, Agency Cosls and Ownership Structure", J. Fin. Econ.305 (1976)
6Ross, "Disclosure Regulation in Einancial Markerse: Implications of Modern Finance Theory and Signaling Theory, in Issues in Financial Regulation 177 "(F. Edwares ed, 1979)
7Williamson."Organizational Form, Residual Claimants and Corporate Control", 26 J. L. & Econ. 351. 363(1983)
8Coifee, "Rescuing the Private Attomey General: Why the Model of the Lawyer as Bounty Hunter Is Not Working", 42 Md. L Rev 215(1983)
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10Carlton & Fischel,"The Regulation of Insider Trading",35 Stan. L. Rev.857(1983).
