Capital Markets, Derivatives and the Law

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President Obama recently called for a new financial regulation system in the United States. In order to understand the intricacies of new regulation, individuals must have a strong foundation in how capital markets function as well as how financial instruments and derivatives work. Capital Markets, Derivatives, and the Law provides readers with the foundation necessary to make informed, well-reasoned decisions about capital market participation, derivative utilization, and adherence to existing and future regulations.

This publication is an essential guide for attorneys and business professionals looking for an accessible resource to better understand the legal and business considerations of capital markets and derivatives transactions. This book offers expert insight into how derivatives work. The author also explores the structures of derivatives as well as how they are regulated and litigated. In the complex world of the current capital market upheaval, this book provides useful definitions, case law examples, and insight into structures, regulation, and litigation strategies.

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Editorial Reviews

From the Publisher
"Capital Markets, Derivatives and the Law is a great introduction to the often obscure world of financial instruments. From debt to equity to derivatives, Alan Rechtschaffen provides an accessible explanation of how these instruments work in the real world. Students and practitioners who want to understand these instruments will all benefit from his accessible book."
-Donald Marron
Former Member of the President's Council of Economic Advisers
Former Acting Director of the Congressional Budget Office

"Alan Rechtschaffen's book, Capital Markets, Derivatives and the Law, is a fascinating analysis of modern capital markets, drawing on insights from law, economics, political science, history, and sociology. As an educator, attorney, policy adviser, and market participant, Rechtschaffen offers a unique perspective on important questions of public policy. Combining economic and legal scholarship while encouraging discussion of today's headlines, this book is of interest to academics, practitioners, bankers, regulators, and anyone else who wants to understand our complex, rapidly evolving capital markets."
-Geoffrey P. Miller
Stuyvesant P. Comfort Professor of Law
Director, Center for the Study of Central Banks and Financial Institutions

"One of the leading academics and practitioners in the evolving arena of derivative products presents a clear, understandable explanation of these financial instruments and their relevance and impact on capital markets and the global financial crisis. A must read for anyone trying to understand today's business headlines."
-Kenneth Raisler
Head of Commodities, Futures and Derivatives Group, Sullivan & Cromwell
Former General Counsel, CFTC
Former Member, Working Group of The Group of Thirty Derivatives Project

"Alan Rechtschaffen has written an essential book for lawyers working on matters related to financial markets in the wake of the crisis. Capital Markets, Derivatives and the Law is a one-stop source of knowledge about the financial instruments involved in the crisis and the case law to deal with them. It brings together law and financial markets in a way that adds enormous value in both directions. Lawyers and financial market participants will want to read this book."
-Phillip Swagel
Professor, McDonough School of Business, Georgetown University
Former Assistant Secretary, U.S. Treasury

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Product Details

  • ISBN-13: 9780195339086
  • Publisher: Oxford University Press, USA
  • Publication date: 9/10/2009
  • Edition description: Older Edition
  • Pages: 384
  • Product dimensions: 6.40 (w) x 9.30 (h) x 1.20 (d)

Meet the Author

Alan N. Rechtschaffen is a senior member of the Rechtschaffen Group at a top tier global financial institution. He has over 20 years experience participating in the capital markets and advising governments, corporations and individuals. He is an adjunct Professor of Law at New York University and Fordham University. He has held several public offices, served as a regulator, and counsels the highest-level government officials.

Mr. Rechtschaffen leads central bankers and international regulators in policy discussions at the NYU Global Economic Policy Forum which he created and co-chairs. As an adjunct Professor at New York University School of Law, he teaches the course he created-Financial Instruments and the Capital Markets. At Fordham University School of Law, he created and taught courses on Capital Markets, Financial Instruments, Derivatives, Risk Management, and Corporate Governance.

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Table of Contents


Chapter 1 The Financial Crisis

Chapter 2 Financial Instruments in the Capital Markets

Chapter 3 Using Financial Instruments

Chapter 4 Securities Regulation

Chapter 5 Derivatives Regulation

Chapter 6 Understanding Interest Rates and the Economy

Chapter7 Asset Valuation

Chapter 8 United States Treasury Securities

Chapter 9 Debt Securities

Chapter 10 Derivatives

Chapter 11 Types of Swaps

Chapter 12 Fiduciary Obligation to Manage Risk

Chapter 13 Litigation Issues

Chapter 14 Suitability

Chapter 15 Options

Chapter 16 Structures


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