Description
Book SynopsisThis fascinating
Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statutes, and the regulators and market participants involved. In addition to a general summary of the topic, this volume provides detailed explanations of the process for registering securities, exemptions from registration, secondary distributions, and the underwriting process.
Scholars and students of financial law, banking and regulatory law will find this book a useful resource, as will attorneys, compliance professionals, risk-mitigation professionals and corporate leaders.
Contributors: B. Black, L.A. Blau, R.C. Campos, P. Evans, J. Fanto, J. Gabilondo, Z.J. Gubler, T.L. Hazen, W.A. Kaal, A.B. Laby, M. Liston, J. MacLeod Heminway, M.Q. Paz
Table of ContentsContents: Introduction 1. Overview Jerry W. Markham 2. The Definition of “Security” Under the Federal Securities Laws Arthur B. Laby 3. The Integrated Disclosure System Rigers Gjyshi 4. Exemptions from 1933 Act Registration Thomas L. Hazen 5. The Underwriting Process and Secondary Distribution Zachary J. Gubler 6. Secondary Markets Roel C. Campos and Marlon Q. Paz 7. The Rise of Risk-Based Regulatory Capital: Liquidity and Solvency Standards for Financial Intermediaries José Gabilondo 8. Investment Adviser Regulation Wulf A. Kaal 9. Corporate Governance and the Regulation of Mergers and Acquisitions Jerry W. Markham and Rigers Gjyshi 10. The Sarbanes-Oxley Act of 2002: A Regulatory Hodge-Podge Arising from Highly Visible Financial Fraud Joan Macleod Heminway 11. Regulation of Derivative Instruments Jerry W. Markham 12. An Overview of Compliance-Related Issues in Broker-Dealer Regulation James Fanto 13. Fraud, Manipulation and Other Prohibited Practices Jerry W. Markham 14. The Past, Present and Future of Securities Arbitration Between Customers and Brokerage Firms Barbara Black 15. Private Rights of Action Under U.S. Securities Laws: Key Differences between Litigation and Arbitration of Securities Disputes, Limited Right of Action Against Investment Advisers, and the Uncertain Future of Class Litigation Leslie A. Blau, Mark Liston and Peter Evans 16. Comparative Analysis of Global Securities Regulation Jerry W. Markham Index
