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Research Handbook on Securities Regulation in the United States
This 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.
More Information
Contributors
Contents
More Information
This 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.
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
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,
Contents
Contents:
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
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
