中文部分
1.司徒大年,「證券分析師:角色、責任及獨立性」,證券市場導報,第6期,2002年
2.后祥雯,「證券分析師在財務預測資訊中所應扮演的積極角色與功能發揮」,證券櫃檯月刊,97期,2004年7月3.林蟬娟 / 林囿成,「由安隆案看分析師過度樂觀預測之後果」,會計研究月刊,2002年4月,第197期,p 20-p25
4.周德武,解讀華爾街,海鴿文化,2003年1月
5.祝美玲,「我國上市公司各種財務預測準確性之比較研究- 強制性預測、自願性預測與分析師預測之比較」,政治大學,1997年6月6.高于婷,「券商利益衝突及其決定因素之分析」,銘傳大學,2003年6月7.陳一如/ 蘇法,「從代理理論探討證券分析師對證券市場之影響」,台灣金融財務季刊,第五輯第一期,2004年3月
8.曾國烈,「跨國性銀行與綜合性銀行之監督管理與倒閉處理」出國研究報告,民國83年9月,頁21-22
9.覃正祥/ 郭土木,懲與治-美國華爾街共同基金與分析師弊案剖析,p213-p247, 初版,實用稅務出版社,2004
10.戚瑞國譯 (Arthur Levitt / Paula Dwyer),散戶至上 (Take On The Street: what Wall Street and Corporate American don’t want you know, and what you can do to fight back),p75-p97, 初版,先覺出版社,2004
11.黃姿婷,「綜合券商附屬分析師預測偏誤與利益衝突關聯之研究」,中原大學,碩士論文,2003年6月12.黃思衡,「外資券商投資評等宣告之資訊內涵:商譽與自我利益之衝突探討」,朝陽科技大學,2004年7月13.黃馨儀,「美國企業改革法案對我國上市公司管理制度適用性之探討」,台灣證券交易所研究報告,2003/12/31
14.張仲岳,「證券分析、價值與市價」,會計研究月刊,第123期,1996年2月
15.謝劍平,現代投資銀行,初版,智勝文化, 2001,頁375
16.「日證券業決管制分析師評論」,經濟日報,2002/12/27
17.「自願性財測 將建構防火強」,經濟日報,2004/08/21
18.「外資捧場 連11天買超台積電」,工商時報,2004/11/03
19.「美投資銀行夢魘 論徒法不足以自行」,經濟日報 92/9/21 & 92/9/28
20.「華爾街攻占台灣」,商業周刊,第856期,2004年4月,p78-88
21.「財測失真嚴重 31家記缺失」,經濟日報,2005/01/17
22.「英國證券市場相關制度」,台灣證券交易所彙編
23.「奢侈時裝:LVMH和古奇演繹豪門恩怨」,世界商業評論,2004/09/22
英文部分
1.After the Bubble has Burst: New Rules for Research Analysts and Research Related Conflicts of Interest.
http://www.icsa.bz/html/analysts.html
2.Analyzing the analysts : hearings before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, June 14; July 31, 2001.
3.An Overview of Analyst Rule Changes, http://www.cfainstitute.org/pressroom/fjnews/fjJJA03.html
4.Bjerring, Lakonishok and T.Vermaelen,“ Stock Price and Financial Analysts’ Recommendations”, Journal of Finance, 1983, Vol 38 Issue 1, p187-204
5.Boni Leslie, Womack Kent L., “Wall Street Research: Will New Rules Change Its Usefulness?”, Financial Analysts Journal, May/June 2003, pp. 25-29. http://mba.tuck.dartmouth.edu/pages/faculty/kent.womack /publications.html
6.Boni Leslie, Womack Kent L., “Wall Street’s Credibility Problem: Misaligned Incentives and Dubious Fixes?”, The Wharton School, University of Pennsylvania working paper, 2002, http://ideas.repec.org/p/wop/pennin/02-04.html
7.Charges of Conflict of Interest in Morgan Stanley’s Stock Research http://www.kamalsinha.com/morganstanley/stock-research/louis-vuitton/
8.“How Corrupt is Wall Street?”, Business Week, 13 May 2002, p37-44
9.Krigman Laurie, Shaw Wayne H., Womack Kent L., “Why Do Firms Switch Underwriters”, Journal of Financial Economics, Vol. 60, Nos. 2-3, May/June 2001, pp. 245-284.
10.Lin Hsiou-wei, McNichols Maureen F., “Underwriting relationships, analysts’ earnings forecasts and investment recommendations”, Journal Of Accounting & Economics , 1998, pp. 101-127
11.Michaely Roni, Womack Kent L., “Conflict of Interest and the Credibility of Underwriter Analyst Recommendations”, The Review of Financial Studies, Special Spring 1999, Vol. 12, pp. 653-686.
12.Overview of New SRO Analyst Conflicts of Interest Rules http://www.sia.com/analyst_intergrity/html/sro_rules_overview.html
13.Principles and Regulations for Research-Related Conflicts of Interest http://www.icsa.bz/html/analysts.html
14.SEC Complaint, SEC v. Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc.
http://www.sec.gov/spotlight/globalsettlement.htm
15.SEC Complaint, SEC v. Jack Benjamin Grubman
http://www.sec.gov/spotlight/globalsettlement.htm
16.SEC Complaint,SEC v. Morgan Stanley & Co. Incorporated
http://www.sec.gov/spotlight/globalsettlement.htm
17.Sirignano Michael F., “Conflict of Interest Between Investment Banking and Stock Analysis: Effects of Regulations on behavior of Investment Banks ”, The Department of Economics , William College, 2004
http://www.williams.edu/Economics/Honors/2004/MSirignanoThesis
18.The Technical Committee Of The Committee of The International Organization Of Securities Commissions,
”Report On Analyst Conflicts Of Interest”, Sept 2003.
19.Womack Kent L., “Do Brokerage Analysts’ Recommendation Have Investment Value”, The Journal of Finance, Volume LI, No 1, 1996, pp. 137-167.