Revised: Wed Feb 2 21:42:57 2005

The Initial Public Offerings ( IPO ) Bibliography
http://www.iporesources.org/

Jay Ritter Cordell Professor of Finance
jay ritter at cba dot ufl dot edu University of Florida
http://bear.cba.ufl.edu/ritter/ Stuzin 327, Gainesville, FL 32611-7168
Ivo Welch Professor of Finance
ivo_welch@brown.edu
(+multiple layers of authentication)		 Brown University
http://welch.econ.brown.edu 64 Waterman St, Providece RI 02912
Wed Feb 2 21:42:57 2005
This web page is not actively maintained. Do not rely on it. There is no systematic updating, and many entries are out of date. For anything real, you should use Google or SSRN instead.
Organization
This document contains both publications and working papers. At the end, there is a chronological list, as well as an alphabetical list. Use the "find" or "search" command in your browser to locate authors or topics.
BIBTEX
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Links
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More IPO Information?
For more on-line information on IPOs, refer to Initial Public Offerings (IPO) Resources.

Initial Public Offerings Papers

Want To See User-Submitted References not yet added? See submitted.txt.

Note: The following list is also available in chronological order and alphabetical order.

  1. Sami Torstila. September 2003. The Clustering of IPO Gross Spreads: International Evidence. Journal of Financial and Quantitative Analysis 38:3, 673-694
  2. Amiyatosh Purnanandam, Rhaskaran Swaminathan. Fall 2004. Are IPOs Really Underpriced?. The Review of Financial Studies 17:3, 811-848
  3. Alexander Ljungqvist, Tim Jenkinson, William Wilhelm, Jr.. Spring 2003. Global Integration in Primary Equity Markets: The Role of U.S. Banks and U.S. Investors. The Review of Financial Studies 16:1, 63-99
  4. Jay Ritter. December 2003. Differences between European and American IPO Markets. European Financial Management 9:4, 421-434
  5. Sigrid Vandemaele. December 2003. Choice of Selling Mechanism at the IPO: the Case of the French Second Market. European Financial Management 9:4, 435-455
  6. Sigrid Vandemaele. December 2003. Choice of Selling Mechanism at the IPO: the Case of the French Second Market. European Financial Management 9:4, 435-455
  7. Ranko Jelic, Richrd Briston. December 2003. Privatisation Initial Public Offerings: the Polish Experience. European Financial Management 9:4, 457-484
  8. Peter Roosenboom, Tjalling van der Goot. December 2003. Takeover Defences and IPO Firm Value in the Netherlands. European Financial Management 9:4, 485-511
  9. Giancarlo Giudici, Stefano Paleari. December 2003. Should Firms Going Public Enjoy Tax Benefits? An Analysis of the Italian Experience in the 1990s. European Financial Management 9:4, 513-534
  10. William Megginson, Robert Nash, Jeffry Netter, Annette Poulsen. December 2004. The Choice of Private Versus Public Capital Markets: Evidence from Privatizations. The Journal of Finance 59:6, 2835-2870
  11. Michael Cliff, David Denis. December 2004. Do Initial Public Offering Firms Purchase Analyst Coverage with Underpricing?. The Journal of Finance 59:6, 2871-2901
  12. Carola Schenone. December 2004. The Effect of Banking Relationships on the Firm's IPO Underpricing. The Journal of Finance 59:6, 2903-2958
  13. Tim Jenkinson, Howard Jones. December 2004. Bids and Allocations in European IPO Bookbuilding. The Journal of Finance 59:5, 2309-2338
  14. Shane Corwin, Jeffrey Harris, Marc Lipson. October 2004. The Development of Secondary Market Liquidity for NYSE-Listed IPOs. The Journal of Finance 59:5, 2339-2373
  15. Paul Gompers, Josh Lerner. August 2003. The Really Long-Run Performance of Initial Public Offerings: The Pre-Nasdaq Evidence. The Journal of Finance 58:4, 1355-1392
  16. Francesca Cornelli, David Goldreich. August 2003. Bookbuilding: How Informative Is the Order Book?. The Journal of Finance 58:4, 1415-1443
  17. Randolph Beatty, Padma Kadiyala. October 2003. Impact of the Penny Stock Reform Act of 1990 on the Initial Public Offering Market. The Journal of Law Economics XLVI:2, 517-541
  18. Tim Loughran, Jay Ritter. Autumn 2004. Why Has IPO Underpricing Changed Over Time?. Financial Management 33:3, 5-37
  19. Robert Bruner, Susan Chaplinsky, Latha Ramchand. Autumn 2004. US-Bound IPOs: Issue Costs and Selective Entry. Financial Management 33:3, 39-60
  20. Matthew Clayton, Yiming Qian. Autumn 2004. Wealth Gains from Tracking Stocks: Long-Run Performance and Ex-Date Returns. Financial Management 33:3, 83-106
  21. Kenji Kutsuna, Richard Smith. Winter 2004. Why Does Book Building Drive Out Auction Methods of IPO Issuance? Evidence from Japan. The Review of Financial Studies 17:4, 1129-1166
  22. James Brau, Bill Francis, Ninon Kohers. October 2003. The Choice of IPO versus Takeover: Empirical Evidence. The Journal of Business 76:4, 583-612
  23. Takashi Kaneko, Richard Pettway. September 2003. Auctions versus book building of Japanese IPOs. Pacific-Basin Finance Journal 11:4, 439-462
  24. Daniel Bradley, John Cooney, Jr., Bradford Jordan, Ajai Singh. September 2004. Negotiation and the IPO Offer Price: A Comparison of Integer vs. Non-Integer Ipos. Journal of Financial and Quantitative Analysis 39:3, 517-540
  25. Jean Helwege, Nellie Liang. September 2004. Initial Public Offerings in Hot and Cold Markets. Journal of Financial and Quantitative Analysis 39:3, 541-569
  26. Donghang Zhang. September 2004. Why Do IPO Underwriters Allocate Extra Shares when They Expect to Buy Them Back?. Journal of Financial and Quantitative Analysis 39:3, 571-594
  27. Charles Cao, Laura Field, Gordon Hanka. March 2004. Does Insider Trading Impair Market Liquidty? Evidence from IPO Lockup Expirations. Journal of Financial and Quantitative Analysis 39:1, 25-46
  28. Elizabeth Demers, Katharina Lewellen. June 2003. The Marketing Role of IPOs: Evidence from Internet Stocks. Journal of Financial Economics 68:3, 413-437
  29. Reena Aggarwal. April 2003. Allocation of initial public offerings and flipping activity. Journal of Financial Economics 68:1, 111-135
  30. Yakov Amihud, Shmuel Hauser, Amir Kirsh. April 2003. Allocations, adverse selection, and cascades in IPOs: Evidence from the Tel Aviv Stock Exchange. Journal of Financial Economics 68:1, 137-158
  31. Scott Smart, Chad Zutter. July 2003. Control as a motivation for underpricing: a comparison of dual and single-class IPOs. Journal of Financial Economics 69:1, 85-110
  32. Michelle Lowry, G. William Schwert. January 2004. Is the IPO pricing process efficient?. Journal of Financial Economics 71:1, 3-26
  33. Eugene Fama, Kenneth French. August 2004. New lists: Fundamentals and survival rates. Journal of Financial Economics 73:2, 229-269
  34. Peggy Lee, Sunil Wahal. August 2004. Grandstanding, certification and the underpricing of venture capital backed IPOs. Journal of Financial Economics 73:2, 375-407
  35. Simon Benninga, Mark Helmantel, Oded Sarig. January 2005. The timing of initial public offerings. Journal of Financial Economics 75:1, 115-132
  36. Michelle Lowry, William Schwert. June 2002. IPO Market Cycles: Bubbles or Sequential Learning?. The Journal of Finance 57:3, 1171-1200
  37. Paul Schultz, Mir Zaman. March 2001. Do the individuals closest to internet firms believe they are overvalued?. Journal of Financial Economics 59:3, 347-381
  38. Daniel Bradley, Bradford D. Jordan, Ha-Chin YI, Ivan C. Roten. October 2001. Venture capital and IPO lockup expiration: An empirical analysis. The Journal of Financial Research 24:4, 465-493
  39. Andrew Chalk, John Peavy. 1987. Initial Public Offering; Daily Return, Offering Types and The Price Effect . Financial Analyst Journal 45
  40. Mary Ann Robinson, Richard Robinson. Fall 2002. Capital Gains and IPO Pricing. Financial Decisions 14:2
  41. Mary Ann Reside, Richard Robinson, Arun Prakash, Krishnan Dandapani. November 1994. A Tax-Based Motive for the Underpricing of Initial Public Offerings. Managerial and Decision Economics 15:6, 553-561
  42. Chris Yung. 2004. IPOs with Buy-Side and Sell-Side Information Production: The Dark Side of Open Sales. Review of Financial Studies forthcoming
  43. Aydogan Alti. 2002. Clustering Patterns In Initial Public Offerings. Working Paper: University of Texas/Austin
  44. Trevis Certo, Catherine Daily, Dan Dalton. 2001. Signaling Firm Value Through Board Structure: An Investigation of Initial Public Offerings. Entrepreneurship Theory and Practice 26:2, 33-50
  45. James Ang, Jim Brau. 2002. Concealing and confounding adverse signals: Insider wealth-maximizing behavior in the IPO process. Journal of Financial Economics, forthcoming
  46. Joni Jimenez. 1 1993. The Aftermarket Performance Of Initial Public Offerings In Latin America. Financial Management 22:1, 42-53 . Working Paper: Universidad Catolica #505 Managua, Nicaragua
  47. Wan Nordin Wan-Hussin. August 2002. Investor protection mechanism and IPO valuation on the Kuala Lumpur Stock Exchange. Working Paper: Social Science Research Network
  48. Gary D. Zeune. 1997. Going Public: What the CFO Needs to Know. Working Paper: AICPA #341
  49. Francois Derrien. 02 2002. Issuers, underwriters and institutional investors: why they all like the book-building IPO procedure. Working Paper: Rotman school of Management, University of Toronto 105 St George street, Toronto, ON M5S 3E6, Canada
  50. Laura Casares Field, Jonathan M. Karpoff. October 2002. Takeover Defenses of IPO Firms. The Journal of Finance 57:5, 1857-1889
  51. Jay R. Ritter, Ivo Welch. August 2002. A Review of IPO Activity, Pricing, and Allocations. The Journal of Fanance 57:4, 1795-1828
  52. Daniel J. Bradley, Bradford D. Jordan, Jay R. Ritter. February 2003. The Quiet Period Goes out with a Bang. The Journal of Finance 58:1, 1-36
  53. Lee Nelson. April 2002. Persistence and Reversal in Herd Behavior: Theory and Application to the Decision of Go Public. The Review of Financial Studies 15:1, 65-95
  54. Siew Hong Teoh, T. J. Wong. July 2002. Why New Issues and High-Accrual Firms Underperform: The Role of Analysts' Credulity. The Review of Financial Studies 15:3, 869-900
  55. Alon Brav, Paul A. Gompers. April 2003. The Role of Lockups in Initial Public Offerings. The Review of Financial Studies 16:1, 1-29
  56. Francois Derrien, Kent L. Womack. April 2003. Auctions vs. Bookbuilding and the Control of Underpricing in Hot IPO Markets. The Review of Financial Studies 16:1, 31-61
  57. Alexander P. Ljungqvist, Tim Jenkinson, William J. Wilhelm, Jr.. April 2003. Global Integration in Primary Equity Markets: The Role of U.S. Banks and U.S. Investors. The Review of Financial Studies 16:1, 63-99
  58. Tim Loughran, Jay R. Ritter. Special 2002. Why Don't Issuers Get Upset About Leaving Money on the Table in IPOs?. The Review of Financial Studies 15:2, 413-443
  59. Michelle Lowry, William Schwert. June 2002. IPO Market Cycles: Bubbles or Sequential Learning?. The Journal of Finance 57:3, 1171-1200
  60. Todd Houge, Tim Loughran, Gerry Suchanek, Xuemin Yan. Winter 2001. Divergence of Opinion, Uncertainty, and the Quality of Initial Public Offerings. Financial Management 30:4, 5-23
  61. Sami Torstila. Winter 2001. The Distribution of Fees Within the IPO Syndicate. Financial Managment 30:4, 25-43
  62. Dennis E. Logue, Richard J. Rogalski, James K. Seward, Lynn Foster-Johnson. April 2002. What Is Special about the Roles of Underwriter Reputation and Market Activities in Initial Public Offerings?. The Journal of Business 75:2, 213-243
  63. Ranko Jelic, Brahim Saadouni, Richard Briston. November 2001. Performance of Malaysian IPOs: Underwriters reputation and management earnings forecasts. Pacific-Basin Finance Journal 9:5, 457-486
  64. Michael J. Sullivan, Angelo A. Unite. November 2001. The influence of group affiliation and the underwriting process on emerging market IPOs: The case of the Philippines. Bacific-Basin Finance Journal 9:5, 487-512
  65. Judy Beckman, Jacqueline Garner, Beverly Marshall, Hideo Okamura. November 2001. The influence of underwriter reputation, keiretsu affiliation, and financial health on the underpricing of Japanese IPOs. Pacific-Basin Finance Journal 9:5, 513-534
  66. Raymond P. H. Fishe. June 2002. How Stock Flippers Affect IPO Pricing and Stabilization. Journal of Financial and Quantitative Analysis 37:2, 319-340
  67. Daniel J. Bradley, Bradford D. Jordan. December 2002. Partial Adjustment to Public Information and IPO Underpricing. Journal of Financial and Quantitative Analysis 37:4, 595-617
  68. Ann Sherman, Sheridan Titman. May 2002. Building the IPO order book: underpricing and participation limits with costly information. Journal of Financial Economics 65:1, 3-29
  69. Alexander P. Ljungqvist, William J. Wilhelm, Jr.. August 2002. IPO allocations: discriminatory or discretionary?. Journal of Financial Economics 65:2, 167-201
  70. Susan Shu, Michelle Lowry. September 2002. Litigation risk and IPO underpricing. Journal of Financial Economics 65:3, 309-335
  71. Rajesh K. Aggarwal, Laurie Krigman, Kent L. Womack. October 2002. Strategic IPO underpricing, information momentum, and lockup expiration selling. Journal of Financial Economics 66:1, 105-137
  72. Michelle Lowry. January 2003. Why does IPO volume fluctuate so much?. Journal of Financial Economics 67:1, 3-40
  73. Roberto Arosio, Giancarlo Giudici, Stefano Paleari. September 2000. What Drives the Initial Market Performance of Italian IPOs? An Empirical Investigation on Underpricing and Price Support. Working Paper: Politecnico di Milano Department of Economics and Production
  74. Paul Schultz, Mir Zaman. 2000. Do the Individuals Closest to Internet Firms Believe They Are Overvalued?. Working Paper: University of Notre Dame Notre Dame, IN 46556
  75. Scott Smart, Chad Zutter. 2000. Control as a Motivation for Underpricing: A Comparison of Dual- and Single-Class IPOs. Working Paper: Indiana University Bloomington IN 47305
  76. Randolph Beatty, Susan Riffe, Rex Thompson. 2000. IPO Pricing with Accounting Information. Working Paper: Southern Methodist University Dallas TX 75275-0333
  77. Douglas Cook, Sherry Jarrell, Robert Kieschnick. 2000. An Analysis of Fluctuations in U.S. IPO Returns and Volume. Working Paper: U of Mississippi, Wake Forest, and U of Texas at Dallas (Entered by: rittr@dale.cba.ufl.edu)
  78. Paul Gompers, Joshua Lerner. 2000. The Really Long-run Performance of IPOs: The Pre-Nasdaq Evidence. Working Paper: Harvard Business School
  79. Francesca Cornelli, David Goldreich. 1999. Bookbuilding: How Informative Is the Order Book?. Working Paper: London Business School
  80. William Megginson, Robert Nash, Jeffry Netter, Adam Schwartz. Spring 2000. The Long-run Return to Investors in Share Issue Privatizations. Financial Management, 67-77
  81. Stephen Morris. November 1996. Speculative Investor Behavior and Learning. Quarterly Journal of Economics 111, 1111-1133 (Entered by: stephen.morris@yale.edu)
  82. Michael Sullivan, Unite Angelo. November 2000. The influence of group affiliation and ownership on emerging market IPOs: The case of the Philippines. Pacific-Basin Finance Journal, forthcoming (Entered by: sullivan@ccmail.nevada.edu)
  83. Jim Brau, Bill Francis, Ninon Kohers. forthcoming. The Choice of IPO Versus Takeover: Empirical Evidence. Journal of Business
  84. Jim Brau, Jerome S. Osteryoung. July 2001. The Determinants of Successful Micro-IPOs: An Analysis of Issues Made Under the Small Corporate Offering Registration (SCOR) Procedure. Journal of Small Business Management, 209-227
  85. James S. Ang, Jim Brau. Forthcoming. Firm Transparency and the Costs of Going Public. Journal of Financial Research
  86. Jim Brau, Val Lambson, Grant McQueen. June 2001. Why Lockups?. Working Paper: Brigham Young University TNRB 660, Marriott School
  87. Donghang Zhang. August 2001. Why Do IPO Underwriters Allocate Extra Shares When They Expect to Buy Them Back?. Working Paper: University of Florida P.O. Box 117168 Gainesville FL 32611-7168
  88. Amiyatosh Purnanandam, Bhaskran Swaminathan. August 2001. Are IPOs Underpriced?. Working Paper: Cornell University
  89. Reena Aggarwal, Nagpurnanand Prabhala, Manju Puri. August 2001. Institutional Allocation in Initial Public Offerings: Empiracal Evidence. Journal of Finance
  90. Reena Aggarwal. 2001. Allocation of Initial Public Offerings and Flipping Activity. Journal of Financial Economics
  91. Alexander Ljungqvist, William Wilhelm, Jr.. August 2001. IPO Allocations: Discriminatory or Discretionary?. Journal of Financial Economics
  92. Larry DuCharme. September 2001. Why was Internet IPO Underpricing so Severe?. Working Paper: University of Washington Box 353200, Seattle, WA 98195
  93. Larry DuCharme, Shivaram Rajgopal, Stephan Sefcik. September 2001. Why was Internet IPO Underpricing so Severe?. Working Paper: University of Washington Box 353200, Seattle, WA 98195
  94. Amiyatosh Purnanandam, Bhaskaran Swaminathan. August 2001. Are IPOs Underpriced. Working Paper: Cornell University Ithaca, NY 14853
  95. Laura Casares Field, Gordon Hanka. April 2001. The Expiration of IPO Share Lockups. The Journal of Finance LVI:2, 471 - 500
  96. Keith Brown, Amy Dittman, Henri Servaes. 2001. "Roll-Ups: Performance and Incentives for Industry-Consolidating IPOs". Working Paper: University of Texas Austin, Texas
  97. Lynn Foster-Johnson, Craig Lewis, James Seward. April 2000. Busted IPOs and Windows of Misopportunity. Working Paper: Dartmoutn College Honover, NH 03755
  98. Paul Schultz. August 2000. The Timing of Initial Public Offerings. Working Paper: University of Notre Dame Notre Dame, IN 46556
  99. Utkarsh Majmudar. December 1996. An Examination Of Initial And Aftermarket Returns For Initial Public Offerings Of Equity Shares. Working Paper: Indian Institute of Management Ahmedabad, India Vastrapur, Ahmedabad (India)
  100. K. Paudyal, B. Saadouni, R.J. Briston. 1998. Privatisation Initial Public Offerings in Malaysia: Initial Premium and Long-Term Performance. Pacific-Basin Finance Journal 6:5, 427-451
  101. Samy BEN NACEUR. May 2000. An examination of the Tunisian IPO pricing in the short and long run. Applied Economic letters 7:5, 293-296
  102. Samy BEN NACEUR. 2002. The short and long run performance of new listing in Tunisia. Working Paper: Universite Libre de Tunis 30 avenue Khereddine Pacha 1002 Tunis Tunisia
  103. Trevis Certo, Jeffrey Covin, Catherine Daily, Dan Dalton. 2002?. Wealth and the Effects of Founder Management Among IPO-Stage New Ventures. Strategic Management Journal 22, 641-658
  104. Tim Jenkinson. 2002. Bids and Allocations in IPO Bookbuilding. Working Paper: Said School of Business, Oxford University
  105. Reena Aggarwal, Pat Conroy. 2000. Price Discovery in Initial Public Offerings and the Role of the Lead Underwriter. Journal of Finance 55:6
  106. Reena Aggarwal. June 2000. Stabilization Activities by Underwriters after Initial Public Offerings. The Journal of Finance 55:3, 1075-1103
  107. Reena Aggarwal, Pietra Rivoli. 1990. Fads In The Initial Public Offering Market?. Financial Management 19:4, 45-57
  108. Reena Aggarwal, Ricardo Leal, Leonardo Hernandez. 1993. The Aftermarket Performance Of Initial Public Offerings In Latin America. Financial Management 22:1, 42-53
  109. Joseph Aharony, Chan-Jane Lin, Martin P. Loeb. 1993. Initial Public Offerings, Accounting Choices, And Earnings Management. Contemporary Accounting Research 10:1, 61-81
  110. M. Fall Ainina, Nancy K. Mohan. 1991. When LBOs Go IPO. Journal of Business Finance And Accounting 18:3, 393-404
  111. Franklin Allen, Gerald R. Faulhaber. 1989. Signaling By Underpricing In The IPO Market. Journal of Financial Economics 23:2, 303-324
  112. Kasim Alli, Jot Yau, Kenneth Yung. 1994. The Underpricing Of IPOs Of Financial Institutions. Journal of Business Finance And Accounting 21:7, 1013-1030
  113. Seth C. Anderson, Jeffery A. Born, T. Randolph Beard. 1991. An Analysis Of Bond Investment Company Initial Public Offerings: Past And Present. Financial Review 26:2, 211-222
  114. Hiroyuki Ando. 1997. OTC Registration (in Japan). Working Paper: International Finance Dept, Yamaichi Securities
  115. James S. Ang, James C. Brau. August 1999. The Financial Marketing of Initial Public Offerings: An Empirical Analysis of Selling Effort and Offering Price Adjustments. Working Paper: Brigham Young University TNRB 660, Marriott School, Provo, UT 84602
  116. Vincent A. D'Angelo, David L. Millstein, Corinne G. Keller. 1994. The New REIT's: Issues Associated With IPOs. Journal of Corporate Accounting and Finance 6:1, 17-34
  117. Wolfgang Aussenegg. 1997. Short and Long-run performance of Initial Public Offerings in the Austrian Stock Market. Working Paper: Vienna University of Technology
  118. Joseph Bachar. 1989. Optimal Underwriting Contracts And Underpricing Of New Issues. Journal of Accounting, Auditing and Finance 4:4, 432-459
  119. Sung C. Bae, Haim Levy. 1990. The Valuation Of Firm Commitment Underwriting Contracts For Seasoned New Equity Issues: Theory And Evidence. Financial Management 19:2, 48-59
  120. Sung C. Bae, Haim Levy. 1994. Investment Banker Prestige, Competition, And Underwriter Compensation In U.S. Seasoned New Equity Issues. Global Finance Journal 5:1, 37-54
  121. Malcolm Baker, Jeff Wurgler. October 2000. The equity share in new issues and aggregate stock returns. The Journal of Finance 55:5, 2219-2257
  122. Ronald J. Balvers, John Affleck-Graves, Robert E. Miller, Kevin Scanlon. 1993. The Underpricing Of Initial Public Offerings: A Theoretical And Empirical Reconsideration Of The Adverse Selection Hypothesis. Review of Quantitative Finance and Accounting 3:2, 221-239
  123. Ronald J. Balvers, Bill McDonald, Robert E. Miller. 1988. Underpricing Of New Issues And The Choice Of Auditor As A Signal Of Investment Banker Reputation. The Accounting Review 63:4, 605-622
  124. Hedva Bar, Yishay Yafeh, Oved Yosha. June 1997. Conflict of Interest in Universal Banking: Evidence from the Post-Issue Performance of IPO Firms. Working Paper: Tel Aviv University #18-97
  125. Michael J. Barclay, Robert H. Litzenberger. 1988. Announcement Effects Of New Equity Issues And The Use Of Intraday Price Data. Journal of Financial Economics 21:1, 71-100
  126. David P. Baron. 1982. A Model Of The Demand For Investment Banking Advising And Distribution Services For New Issues. Journal of Finance 37:4, 955-976
  127. David P. Baron, Bengt Holmstrom. 1980. The Investment Banking Contract For New Issues Under Asymmetric Information: Delegation And The Incentive Problem. Journal of Finance 35:5, 1115-1138
  128. Christopher B. Barry. 1989. Initial Public Offering Underpricing: The Issuer's View: Comment. Journal of Finance 44:4, 1099-1104
  129. Christopher B. Barry, John W. Peavy,III. 1990. Risk Characteristics Of Closed-End Stock Fund IPOs. Journal of Financial Services Research 4:1, 65-76
  130. Christopher B. Barry, Robert H. Jennings. 1993. The Opening Price Performance Of Initial Public Offerings Of Common Stock. Financial Management 22:1, 54-63
  131. Randolph P. Beatty, Howard Bunsis, John R.M. Hand. November 1998. The Indirect Economic Penalties in SEC Investigations of Underwriters. Journal of Financial Economics 50:2, 151-186
  132. Randolph P. Beatty, Edward J. Zajac. 1995. Managerial Incentives, Monitoring, And Risk In Initial Public Offerings. Journal of Applied Corporate Finance 8:2, 87-96
  133. Randolph P. Beatty. 1989. Auditor Reputation And The Pricing Of Initial Public Offerings. The Accounting Review 64:4, 693-709
  134. Randolph P. Beatty. 1993. The Economic Determinants Of Auditor Compensation In The Initial Public Offerings Market. Journal of Accounting Research 31:2, 294-302
  135. Randolph P. Beatty, Ivo Welch. October 1996. Legal Liability and Issuer Expenses in Initial Public Offerings. The Journal of Law and Economics 39:2, 545-603
  136. Randolph P. Beatty, Jay R. Ritter. 1986. Investment Banking, Reputation, And The Underpricing Of Initial Public Offerings. Journal of Financial Economics 15:1/2, 213-232
  137. Scott Below, Mir A. Zaman, Will McIntosh. 1995. The Pricing Of Real Estate Investment Trust Initial Public Offerings. Journal of Real Estate Finance and Economics 11:1, 55-64
  138. Earl D. Benson. 1982. The Dispersion Of Bids On Individual New Municipal Issues. Journal of Financial Research 5:3, 207-219
  139. Earl D. Benson, Robert J. Rogowski. 1978. The Cyclical Behavior Of Risk Spreads On New Municipal Issues. Journal of Money, Credit and Banking 10:3, 348-362
  140. Lawrence Benveniste, Walid Busaba, William J. Wilhelm. October 1996. Price Stabilization as a Bonding Mechanism in New Equity Issues. Journal of Financial Economics 42:2, 223-255
  141. Lawrence M. Benveniste, William J. Wilhelm. 1990. A Comparative Analysis Of IPO Proceeds Under Alternative Regulatory Environments. Journal of Financial Economics 28:1/2, 173-208
  142. Lawrence Benveniste, Walid Busaba, Re-Jin Guo. January 1999. The Option to Withdraw IPOs during the Premarket: Strategic Value. Working Paper: University of Minnesota
  143. Lawrence M. Benveniste, Paul A. Spindt. 1989. How Investment Bankers Determine The Offer Price And Allocation Of New Issues. Journal of Financial Economics 24:2, 343-362
  144. Sudipto Bhattacharya, Anjun Thakor. 1993. Contemporary Banking Theory. Journal of Financial Intermediation 3:1, 1-50
  145. Bernard Black, Ronald Gilson. March 1998. Venture Capital and the Structure of Capital Markets: Banks versus Stock Markets. Journal of Financial Economics 47:3, 243-277
  146. Asher Blass, Yishay Yafeh. March 1999. Vagabond Shoes Longing to Stray: Why Foreign Firms List in the United States. Working Paper: Hebrew University
  147. Ekkehart Boehmer. 1993. The Informational Content Of Initial Public Offerings: A Critical Analysis Of The Ownership-Retention Signalling Model. International Review of Financial Analysis 2:2, 77-95
  148. Ekkehart Boehmer, Gary Sanger, Sanjay Varshney. 1996. The Effect of Consolidated Control on Firm Performance: The Case of Dual-Class IPOs. Empirical Issues In Raising Equity Capital - North Holland/Elsevier volume Editor: Mario Levis unknown, 95-124
  149. Jos Van Bommel. December 1997. Messages from Market to Management: The Case of IPOs. Working Paper: INSEAD
  150. Jeong Kim-Bon, Itzhak Krinsky, Jason Lee. 1994. The Valuation Of Initial Public Offerings And Accounting Disclosures In Prospectuses: New Evidence From Korea. International Journal of Accounting 29:1, 46-61
  151. James Booth, Lena Chua. June 1996. Ownership Dispersion, Costly Information, and IPO Underpricing. Journal of Financial Economics 41:2, 249-289
  152. Nancy L. Bower. 1989. Firm Value And The Choice Of Offering Method In Initial Public Offerings. Journal of Finance 44:3, 647-662
  153. Phelim P. Boyle. 1989. Discussion: The Valuation Of Initial Public Offerings. Contemporary Accounting Research 5:2, 516-518
  154. Daniel Bradley, Bradford Jordan, Ivan Roten, Ha-Chin Yi. December 1999. Venture Capital and IPO Lockup Expiration: An Empirical Analysis. Working Paper: University of Kentucky
  155. Alon Brav, Paul A. Gompers. February 1998. Myth or reality? The Long-Run Underperformance of Initial Public offerings: Evidence from Venture and Nonventure Capital-Backed Companies. Journal of Finance 1997:5, 1791-1821
  156. Michael Brennan, Julian Franks. September 1997. Underpricing, Ownership, and Control in Initial Public Offerings of Equity Securities in the U.K.. Journal of Financial Economics 45:3, 391-413
  157. R.J. Briston, C.S. Greensted. 1976. Shareholder Behaviour In The New Issues Market: A Final Progress Report. Accounting and Business Research 6:22, 125-134
  158. R.J. Briston, C.R. Tomkins, D. King. 1971. Shareholder Behaviour In The New Issue Market; A Preliminary Report. Accounting and Business Research 1:3, 233-241
  159. Peter A. Brous, Omesh Kini. 1992. Equity Issues And Tobin's Q: New Evidence Regarding Alternative Information Release Hypotheses. Journal of Financial Research 15:4, 323-340
  160. R. Buckland, P.J. Herbert, K.A. Yeomans. 1981. Price Discount On New Equity Issues In The UK And Their Relationship To Investor Subscription In The Period 1965-75. Journal of Business Finance And Accounting 8:1, 79-95
  161. Alistair Byrne, William Rees. 1994. The Time Series Behaviour Of Initial Returns On U.K. IPOs. Journal of International Financial Management, Institutions and Markets 4:3/4, 81-100
  162. Melanie Cao, Shouyong Shi. July 1999. Publicity and the Clustering of IPO Underpricing. Working Paper: Queen's University #N/A Dept. of Economics, Kingston Ontario Canada
  163. Richard Carter, Frederick Dark, Ajai Singh. February 1998. Underwriter Reputation, Initial Returns, and the Long-Run Underperformance of IPO Stocks. Journal of Finance 53:1, 285-311
  164. Richard B. Carter, Frederick H. Dark. 1990. The Use Of The Over-Allotment Option In Initial Public Offerings Of Equity: Risks And Underwriter Prestige. Financial Management 19:3, 55-64
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  346. Richard H. Pettway, Takashi Kaneko. 1997. A comparison of the impacts of the partial auction system of Japanese IPOs versus the U.S. discretionary allocation system. Working Paper: Univ of Missouri and Keio University
  347. Harlan D. Platt. 1995. A Note On Identifying Likely IPO Bankruptcies: A Symphonic Paradox. Journal of Accounting, Auditing and Finance 10:1, 71-79
  348. N.L. Prabala, Manju Puri. 1998. How Does Underwriter Price Support Affect IPOs?. Working Paper: Yale and Stanford
  349. Thomas A. Pugel, Lawrence J. White. 1988. An Empirical Analysis Of The Underwriting Spreads On Initial Public Offerings. Quarterly Review of Economics and Business 28:4, 6-20
  350. Raghuram Rajan, Henri Servaes. June 1997. Analyst Following of Initial Public Offerings. Journal of Finance 52:2, 507-529
  351. Palani Kadapakkam-Rajan, Stanley J. Kon. 1989. The Value Of Shelf Registration For New Debt Issues. Journal of Business 62:2, 271-292
  352. Frank K. Reilly. 1973. Further Evidence On Short-Run Results For New Issues Investors. Journal of Financial and Quantitative Analysis 8:1, 83-90
  353. Frank K. Reilly. 1977. New Issues Revisited. Financial Management 6:4, 28-42
  354. Frank K. Reilly, Kenneth Hatfield. 1969. Experience With New Stock Issues. Financial Analyst Journal 25:5, 73-78
  355. Alan Reinstein, Mohamed E. Bayou. 1994. FASB Issues New Accounting Rules For Debt And Equity Securities. Healthcare Financial Management 48:10, 34-41
  356. Jay Ritter. 1998. Initial Public Offerings. Contemporary Finance Digest 2:1, 5-30
  357. Jay R. Ritter. April 1984. The Hot Issue Market of 1980. Journal of Business 57:2, 215-240
  358. Jay R. Ritter. 1987. The Costs of Going Public. Journal of Financial Economics 19:2, 269-281
  359. Jay R. Ritter. 1984. Signaling And The Valuation Of Unseasoned New Issues: A Comment. Journal of Finance 39:4, 1231-1237
  360. Jay R. Ritter. 1991. The Long Run Performance Of Initial Public Offerings. Journal of Finance 46:1, 3-28
  361. Sidney M. Robbins, Robert B. Stobaugh, Francis L. Sterling, Thomas H. Howe. 1979. The Impact Of Exchange-Traded Options On The Market For New Issues Of Common Stock Of Small Companies. Financial Review 14:1, 1-22
  362. Kevin Rock. 1986. Why New Issues Are Underpriced. Journal of Financial Economics 15:1/2, 187-212
  363. Judith S. Ruud. 1991. In Brief: Another View Of The Underpricing Of Initial Public Offerings. FRB New York - Quarterly Review 16:1, 83-85
  364. Judith S. Ruud. 1993. Underwriter Price Support And The IPO Underpricing Puzzle. Journal of Financial Economics 34:2, 135-151
  365. Kristian Rydqvist. April 1995. IPO Underpricing as Tax-Efficient Compensation. Working Paper: Carnegie-Mellon University
  366. Annemarie Sapusek. ?. Benchmark Sensitivity of IPO Long-Run Performance: An Empirical Study for Germany. Working Paper: Martin Luther University Halle-Wittenberg
  367. David A. Sauer, Nancy Mohan, Beng Soon Chong. 1994. Global Initial Public Offerings. Journal of Multinational Financial Management 4:3, 105-116
  368. Anthony Saunders, J. Lim. 1990. Underpricing And The New Issue Process In Singapore. Journal of Banking and Finance 14:2/3, 291-310
  369. Anthony Saunders. 1990. Why Are So Many New Stock Issues Underprices?. FRB Philadelphia - Business Review 1990:2, 3-12
  370. Howard M. Schilit, W. Keith Schilit. 1991. The Winning New Issues: A Case Study. Journal of Small Business Finance 1:3, 269-288
  371. Paul H. Schultz. 1993. Unit Initial Public Offerings: A Form Of Staged Financing. Journal of Financial Economics 34:2, 199-229
  372. Paul H. Schultz, Mir A. Zaman. 1994. Aftermarket Support And Underpricing Of Initial Public Offerings. Journal of Financial Economics 35:2, 199-219
  373. David C. Shaw. 1969. The Allocation Efficiency Of Canada's Market For New Equity Issues. Canadian Journal of Economics 2:4, 546-556
  374. Ann Sherman. Fall 2000. IPOs and Long Term Relationships: An Advantage of Book Building. Review of Financial Studies 13:3, 697-714
  375. Ann Sherman. December 1999. Global Trends in IPO Methods: Book-building vs. Auctions. Working Paper: University of Minnesota
  376. Ann Sherman, Sheridan Titman. April 1999. Building the IPO Order Book: Underpricing and Participation Limits with Costly Information. Working Paper: University of Notre Dame #N/A
  377. Ann Sherman. 1997. Informed Investor Allocations in US Book Building IPOs. Working Paper: UST HongKong
  378. C. Cheung. Sherman, Itzhak Krinsky. 1994. Information Asymmetry And The Underpricing Of Initial Public Offerings: Further Empirical Evidence. Journal of Business Finance And Accounting 21:5, 739-747
  379. Carol J. Simon. 1989. The Effect Of The 1933 Securities Act On Investor Information And The Performance Of New Issues. American Economic Review 79:3, 295-318
  380. M.B. Slovin, J.E. Young. 1990. Bank Lending And Initial Public Offering. Journal of Banking and Finance 14:4, 729-740
  381. Myron B. Slovin, Marie E. Sushka, Yvette M. Bendeck. 1994. Seasoned Common Stock Issuance Following An IPO. Journal of Banking and Finance 18:1, 207-226
  382. Eric H. Sorenson, James E. Wert. 1981. A New Tool For Estimating New Issue Bond Yields. Journal of Portfolio Management 7:3, 42-45
  383. Chester Spatt, Sanjay Srivastava. 1991. Preplay Communication, Participation Restrictions, And Efficiency In Initial Public Offerings. Review of Financial Studies 4:4, 709-726
  384. Hans R. Stoll, Anthony J. Curley. 1970. Small Business And The New Issues Market For Equities. Journal of Financial and Quantitative Analysis 5:3, 309-322
  385. Neil Stoughton, Josef Zechner. July 1998. IPO-Mechanisms, Monitoring and Ownership Structure. Journal of Financial Economics 49:1, 45-77
  386. Roger D. Stover. 1991. Bond Ratings And New Issue Municipal Bond Pricing: Path Analysis Results. Quarterly Journal of Business and Economics 30:1, 3-17
  387. Roger D. Stover. 1983. The Interaction Between Pricing And Underwriting Spread In The New Issue Convertible Debt Market. Journal of Financial Research 6:4, 323-332
  388. Dongwei Su, Belton Fleisher. May 1999. An Empirical Investigation of Underpricing in Chinese IPOs. Pacific-Basin Finance Journal 7:2, 173-202, 1732-202
  389. Swee Lam-Sum. 1992. Information Risk And Initial Public Offerings: An Empirical Investigation. Applied Financial Economics 2:2, 93-98
  390. Swee Lam-Sum, Soy-Lee Chang. 1994. Auditor Service Quality And Auditor Size: Evidence From Initial Public Offerings In Singapore. Journal of International Accounting, Auditing and Taxation 3:1, 103-?
  391. Siew Hong Teoh, Ivo Welch, T.J. Wong. December 1998. Earnings Management and the Long-Run Performance of Initial Public Offerings. Journal of Finance 53:6, 1935-1974
  392. Seha M. Tinic. 1988. Anatomy Of Initial Public Offerings Of Common Stock. Journal of Finance 43:4, 789-822
  393. Sheridan Titman, Brett Trueman. 1986. Information Quality And The Valuation Of New Issues. Journal of Accounting and Economics 8:2, 159-172
  394. Larry D. Wall, Pamela P. Peterson. 1991. Valuation Effects Of New Capital Issues By Large Bank Holding Companies. Journal of Financial Services Research 5:1, 77-87
  395. Ko Wang, Su Han Chan, George W. Gau. 1992. Initial Public Offerings Of Equity Securities: Anomalous Evidence Using REITs. Journal of Financial Economics 31:3, 381-410
  396. Walter Wasserfallen, Christian Wittleder. 1994. Pricing Initial Public Offerings: Evidence From Germany. European Economic Review 38:7, 1505-1517
  397. Mark I. Weinstein. 1978. The Seasoning Process Of New Corporate Bond Issues. Journal of Finance 33:5, 1343-1354
  398. Ivo Welch. 1991. An Empirical Examination Of Models Of Contract Choice In Initial Public Offerings. Journal of Financial and Quantitative Analysis 26:4, 497-518
  399. Ivo Welch. 1992. Sequential Sales, Learning, and Cascades. Journal of Finance 47:2, 695-732
  400. Ivo Welch. 1989. Seasoned Offerings, Imitation Costs, And The Underpricing Of Initial Public Offerings. Journal of Finance 44:2, 421-450
  401. Kehong Wen. October 1999. Residual Risk, Investor Heterogeneity, and Participation Restriction: Explaining Long-run Underperformance of Initial Public Offeirngs. Working Paper: U California-Berkeley #N/A Haas School of Business
  402. Richard West. 1965. New Issue Concessions On Municipal Bonds: A Case Of Monopsony Pricing. Journal of Business 38:2, 135-148
  403. Earl R. Wilson, Jenice P. Stewart. 1990. Municipal Financial Reporting And Competition Among Underwriters For New Issues Of General Obligation Bonds. Contemporary Accounting Research 6:2, 573-592
  404. Glenn A. Wolfe, Elizabeth S. Cooperman, Stephen P. Ferris. 1994. An Analysis Of The Underwriter Selection Process For Initial Public Offerings. Journal of Financial Research 17:1, 77-90
  405. Gili Yen, Eva C. Yen, S. Chen. 1995. Excess Returns Of Unseasoned New Issues In Taiwan: An Institutional Perspective. Advances in Pacific Basin Business, Economics and Finance 1:1, 337-348
  406. Gary D. Zeune. 1997. Going Public: What the CFO Needs to Know. Working Paper: Forthcoming from the AICPA

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Venture-Capital Related Publications

The list here is somewhat neglected, so please look elsewhere.

  1. Anat R. Admati, Paul Pfleiderer. 1994. Robust Financial Contracts And The Role Of Venture Capitalists. Journal of Finance 49:2, 371-402
  2. Christopher B. Barry. 1994. New Directions In Research On Venture Capital Finance. Financial Management 23:3, 3-15
  3. Christopher B. Barry, Chris J. Muscarella, John W. Peavy,III, Michael R. Vetsuypens. 1990. The Role Of Venture Capital In The Creation Of Public Companies: Evidence From The Going-Public Process. Journal of Financial Economics 27:2, 447-472
  4. Timothy Bates, William D. Bradford. 1992. Factors Affecting New Firm Success And Their Use In Venture Capital Financing. Journal of Small Business Finance 2:1, 23-38
  5. Grahame Boocock. 1995. Venture Capital In Malaysia: The Role Of The Government. Development Policy Review 13:4, 371-390
  6. Donald J. Brown, Charles R. B. Stone. 1991. A Note On Venture Capital Network: Promise And Performance. Journal of Small Business Finance 1:1, 75-88
  7. Yik Chan-Shee, Daniel Siegel, Anjan V. Thakor. 1990. Learning, Corporate Control And Performance Requirements In Venture Capital Contracts. International Economic Review 31:2, 365-382
  8. Yuk Chan-Shee. 1983. On The Positive Role Of Financial Intermediation In Allocation Of Venture Capital In A Market With Imperfect Information. Journal of Finance 38:5, 1543-1568
  9. Ian A. Cooper, Willard T. Carleton. 1979. Dynamics Of Borrower-Lender Interaction: Partitioning Final Payoff In Venture Capital Finance. Journal of Finance 34:2, 517-529
  10. Alan J. Dworsky. 1986. The Case For Raising The Capital Gains Tax (Undoing The Damage From Venture Capital). Financial Analyst Journal 42:2, 69-71
  11. David M. Flynn. 1991. The Critical Relationship Between Venture Capitalists And Entrepreneurs: Planning, Decision-Making, And Control. Small Business Economics 3:3, 185-196
  12. Vance H. Fried, Robert D. Hisrich. 1994. Toward A Model Of Venture Capital Investment Decision Making. Financial Management 23:3, 28-37
  13. Vance H. Fried, Robert D. Hisrich, Amy Polonchek. 1993. Research Note: Venture Capitalists' Investment Criteria: A Replication. Journal of Small Business Finance 3:1, 37-42
  14. Paul A. Gompers. 1995. Optimal Investment, Monitoring, And The Staging Of Venture Capital. Journal of Finance 50:5, 1461-1489
  15. Henry Hansmann, Reinier Kraakman. 1992. Hands-Tying Contracts: Book Publishing, Venture Capital Financing, And Secured Debt. Journal of Law, Economics and Organization 8:3, 628-655
  16. G.E. Hardymon, M.J. DeNino, M.S. Slater. 1983. When Corporate Venture Capital Doesn't Work. Harvard Business Review 61:3, 114-121
  17. Wayne Mikkelson, Megan Partch, Kshitij Shaw. June 1997. Ownership and Operating Decisions of Companies that Go Public. Journal of Financial Economics 44:3, 281-307
  18. John S. Hekman, Mike E. Miles. 1983. Venture Capital And Economic Growth In The Southeast. FRB Atlanta - Economic Review 68:7, 12-21
  19. Yolanda K. Henderson. 1989. The Emergence Of The Venture Capital Industry. FRB New England - Economic Review 1989:4, 64-79
  20. Swee Lam-Sum. 1991. Venture Capital Financing: A Conceptual Framework. Journal of Business Finance And Accounting 18:2, 137-150
  21. Hans Landstrom. 1993. Agency Theory And Its Application To Small Firms: Evidence From The Swedish Venture Capital Market. Journal of Small Business Finance 2:3, 203-218
  22. Joshua Lerner. 1995. Venture Capitalists And The Oversight Of Private Firms. Journal of Finance 50:1, 301-318
  23. Joshua Lerner. 1994. The Syndication Of Venture Capital Investments. Financial Management 23:3, 16-27
  24. Joshua Lerner. 1994. Venture Capitalists And The Decision To Go Public. Journal of Financial Economics 35:3, 293-316
  25. Sophie Manigart, Peter Joos, Donaat De Vos. 1994. The Performance Of Publicly Traded European Venture Capital Companies. Journal of Small Business Finance 3:2, 111-126
  26. John D. Martin, J. William Petty. 1983. An Analysis Of The Performance Of Publicly Traded Venture Capital Companies. Journal of Financial and Quantitative Analysis 18:3, 401-410
  27. Colin M. Mason, Richard T. Harrison. 1995. Closing The Regional Equity Capital Gap: The Role Of Informal Venture Capital. Small Business Economics 7:2, 153-172
  28. Falconer Mitchell, Gavin C. Reid, Nicholas G. Terry. 1995. Post Investment Demand For Accounting Information By Venture Capitalists. Accounting and Business Research 25:99, 186-196
  29. Rick H. Mull. 1994. Venture Capital, Private Firms, And The Capital Acquisition Process. Journal of Small Business Finance 3:3, 229-248
  30. Jeroen A. Munsters, Alireza Toourani Rad. 1994. Initial Public Offerings And The role Of Venture Capitalists In The Netherlands. Journal of International Financial Management, Institutions and Markets 4:3/4, 63-79
  31. Gordon C. Murray. 1995. Evolution And Change: An Analysis Of The First Decade Of The UK Venture Capital Industry. Journal of Business Finance And Accounting 22:8, 1077-1106
  32. Edgar Norton. 1993. Venture Capital Finance: Review And Synthesis. Advances in Quantitative Analysis of Finance and Accounting 2, 141-166
  33. William Rotch. 1968. Venture Capital Financing. Financial Analyst Journal 24:5, 141-147
  34. Silvia B. Sagari, Gabriela Guidotti. 1992. Venture Capital: The Lessons From The Developed World For The Developing Markets. Financial Markets, Institutions and Instruments 1:2, 1-58
  35. William A. Sahlman. 1988. Aspects Of Financial Contracting In Venture Capital. Journal of Applied Corporate Finance 1:2, 23-36
  36. William A. Sahlman. 1994. Insights From The Venture Capital Model Of Project Governance. Business Economics 29:3, 35-37
  37. W. Schilit Keith. 1994. Structuring The Venture Capital Deal. Journal of Investing 3:4, 81-86
  38. W. Schilit. Keith. 1988. Venture Capital: A Guide For CPAs. CPA Journal 58:2, 56-61
  39. S.J. Waddell. 1995. Emerging Social-Economic Institutions In The Venture Capital Industry. American Journal Of Economics and Sociology 54:3, 323-338
  40. Rassoul Yazdipour. 1990. An Empirical Analysis Of The Market For Formal Venture Capital: Evidence From The U.S.. Small Business Economics 2:2, 89-94

Submit IPO Paper to Ritter/Welch Bibliography of IPO Papers

Conference Collections

  1. ABN AMRO Amsterdam IPO conference, July 2000.
  2. Capri Design of Primary Equity Markets conference, June 2000
  3. Boston College JFI New Technologies, Financial Innovation, and Intermediation conference, May 2000

Pure Chronological Order

Pure Alphabetical Order