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Article
Publication date: 8 October 2019

Arthur L. Zwickel, Keith D. Pisani and Alicia M. Harrison

The purpose of this paper is to provide investment advisers, broker dealers, individual investors and other securities firms with a current and detailed summary of the…

Abstract

Purpose

The purpose of this paper is to provide investment advisers, broker dealers, individual investors and other securities firms with a current and detailed summary of the reporting regime under Sections 13 and 16 of the Securities Exchange Act of 1934 (the “Exchange Act”) and guidance on how to comply with the disclosure requirements of the U.S. Securities and Exchange Commission (the “SEC”) on Schedule 13D, Schedule 13G, Form 13F, Form 13H and Forms 3, 4 and 5.

Design/methodology/approach

The approach of this paper discusses the transactions or beneficial ownership interests in securities that trigger a reporting requirement under Section 13 and/or Section 16 of the Exchange Act, identifies the person or persons that have the obligation to file reports with the SEC, details the information required to be disclosed in the publicly available reports, and explains certain trading restrictions imposed on reporting persons as well as the potential adverse consequences of filing late or failing to make the requisite disclosures to the SEC.

Findings

The SEC continues to provide updated guidance on the disclosure requirements under Sections 13 and 16 of the Exchange Act, which individual investors and securities firms – largely insiders – must take into account when filing any new or amended reports on Schedule 13D, Schedule 13G, Form 13F, Form 13H and Forms 3, 4 and 5.

Originality/value

This article provides expert analysis and guidance from experienced securities lawyers.

Article
Publication date: 1 June 2015

Uwe Kehrel and Nathalie Sick

Researchers began investigating the diffusion of renewable energy technologies (RETs) in the late 1990s, and, up to today, a variety of authors have presented different…

Abstract

Purpose

Researchers began investigating the diffusion of renewable energy technologies (RETs) in the late 1990s, and, up to today, a variety of authors have presented different approaches to understand the special characteristics of RET diffusion. However, one factor has been thus far disregarded in the research: the influence of raw material prices on RET diffusion. The dependence of a multitude of technologies on raw material prices became especially apparent in recent years due to rather sudden and volatile price movements in raw material markets. Thus, the aim of this work is to contribute to the research by providing evidence for a direct linkage between raw material price developments and RET diffusion.

Design/methodology/approach

A theoretical framework used in this article derives from the concept of induced diffusion. This empirical study is based on publicly available data of 18 Organisation for Economic Co-operation and Development (OECD) countries over 20 years and uses multivariate regression analysis to identify the corresponding diffusion models for selected established and emerging RETs.

Findings

Results reveal that crude oil prices play a crucial role in the diffusion of emerging RETs. In addition, a joint reflection of induced diffusion and path dependencies as the theoretical foundation of RET diffusion models might be reasonable.

Originality/value

This paper makes a significant contribution to the literature on induced diffusion in the field of renewable energies by providing insights from publicly available data from 18 OECD-countries. The findings are highly relevant for managers of the energy industry and policymakers in this field.

Details

International Journal of Energy Sector Management, vol. 9 no. 2
Type: Research Article
ISSN: 1750-6220

Keywords

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