Research Handbook on Securities Regulation in the United States

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Where to find it

Law Library — 2nd Floor Collection (2nd floor)

Call Number
KF1439 .R47 2014 c. 2
Status
Available

Law Library — Special Collections (1st floor)

Call Number
KF1439 .R47 2014
Status
In-Library Use Only

Authors, etc.

Names:

Summary

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.

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

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 distributions / 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

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