Research Handbook on Securities Regulation in the United States

Research Handbook on Securities Regulation in the United States

Hardcover

$240.00
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Product Details

ISBN-13: 9781782540069
Publisher: Elgar, Edward Publishing, Inc.
Publication date: 09/14/2014
Pages: 576
Product dimensions: 6.10(w) x 9.30(h) x 1.40(d)

About the Author

Edited by Jerry W. Markham, Professor of Law, Florida International University at Miami and Rigers Gjyshi, Senior Compliance Associate, The PNC Financial Services Group, Inc., US

Table of 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

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