Capital Markets Sources and Further Reading, Part 2 of 2: where the research comes from

About this page

Every claim in Capital Markets traces back to a primary source: regulators, central banks, standard-setters and the statutes themselves. This page collects those references, grouped by topic, so you can check any figure or rule at its origin.

If you are studying, writing or building a model, start here. The links point to government and standard-setter pages that change rarely, so they stay useful for years. Each entry says what the source supports, so you can go straight to the one you need.

A sample of the sources (115 entries on the full page)

SEC Rule 10D-1 (17 CFR 240.10D-1) — Mandatory clawback: three completed fiscal years, pre-tax amount, no indemnification, reasonable estimate for TSR awards (7.4).

UK Companies Act 2006, ss.439, 439A and 226B — Advisory report vote, binding policy vote at least every three years, no payment outside an approved policy (7.5).

Disney Form 8-K/A, 2024 annual meeting results — Say-on-pay and contested director vote counts (7.5, 7.7).

Ferri & Maber (2013); Cuñat, Giné & Guadalupe (2016); Larcker, McCall & Ormazabal (2015) — Say-on-pay evidence for and against (7.5).

17 CFR 230.501 (Regulation D definitions, accredited investor) — Accredited investor net worth and income tests (8.1).

Dichev and Yu (2011), Journal of Financial Economics — Dollar-weighted hedge fund returns 3–7% a year below buy-and-hold (8.2).

CFTC, interim staff report on April 20, 2020, WTI trading — May 2020 WTI settled at −$37.63, first negative price in 37 years (8.5).

17 CFR 275.202(a)(11)(G)-1 (family office rule) — Conditions for the family office exclusion (8.7).

15 U.S.C. §78u-1, civil penalties for insider trading — Treble civil penalty (9.1)

OFAC, 50 Percent Rule guidance — Aggregated ownership test (9.3)

12 CFR Part 249, liquidity coverage and net stable funding — LCR outflow rates; NSFR factors (9.5)

Federal Reserve, Credit Suisse/Archegos enforcement (July 24, 2023) — Archegos loss and penalties (9.6)

SEBI circular on implementation of the upstreaming framework (June 30, 2023) — Account and fund-flow provisions from September 1, 2023 (Part 9 India Lens)

IMF, “Recovery from the Asian Crisis and the Role of the IMF,” June 2000 — Programs, early output estimates, supervision (10.3)

Bank of Japan, Statement on Monetary Policy, September 18, 2026 — Policy rate around 1.25% (10.5)

RBI, Janakiraman Committee reports, 1992–93 — Bank receipts, ready forward deals, ₹3,018.63 crore (10.8)

FINMA, AT1 write-down statement, March 23, 2023 — Viability Event and emergency ordinance (10.9)

Budish, The Economic Limits of Bitcoin and the Blockchain (NBER w24717, 2018) — Security budget argument (11.2)

BIS Annual Economic Report 2025, chapter III — Singleness, elasticity, integrity critique (11.4)

ECB press release, October 30, 2025 — Digital euro timeline (11.5)

Federal Reserve, Regulation II average interchange fees — 2024 covered vs exempt debit interchange (11.8)

ECB euro reference exchange rate, US dollar — Spot 1.1355 on Sep 30, 2026; 2022 low 0.9565 on Sep 28, 2022

Deloitte DART, ASC 815-20-25-3 hedge designation and documentation — Formal documentation at hedge inception (12.4)

Good to know

Why primary sources matter: a summary, including this one, can lag the rule or dataset it describes. A regulator’s rule text, a central bank’s data release or a standard-setter’s publication is the authoritative record, and it shows the exact definition, date and scope behind a number. When two summaries disagree, the primary source settles it.

How the page is organized: entries are grouped by topic, and each one says what the source supports, so you can go straight to the document you need instead of searching a long publication for the right page. Where a source updates on a schedule, the Figures That Change register in the same volume says when it will next be reviewed.

About FinoLib: it is my free finance education library. It runs to five volumes, from the whole-economy view in Volume I to household-level detail in Volume V, and every article is written to be read on its own, with worked numbers and primary sources behind the facts.